Procedural Advice - The Human Resources Office may be consulted for procedural guidance at any stage in the procedure. Such guidance will be given without prejudice to any further involvement that Human Resources Office may have within the procedure. 程序事务方面的咨询---在此程序执行过程中可随时向人力资源办公室寻求程序上的指导。人力资办公室应在不影响其后续参与执行的情况下予以指导。

Handling Discipline 违纪处理 1. Introduction 引言

1.1. This guidance document has been produced to provide support for managers in

ensuring the disciplinary process is conducted in a fair, open and transparent manner.

此指导文件旨在为学校管理人员提供支持，以保证处理违纪行为的公平、公正和透明化。 2. Encourage Improvement 鼓励改进

2.1. The main purpose of operating a disciplinary procedure is to encourage

improvement in member of staff whose conduct or performance is below acceptable standards.

执行此违纪程序的主要目的是鼓励行为或表现不达标的员工做出改进。 3. Act Promptly及时行动

3.1. Problems dealt with early enough can be 'nipped in the bud', whereas delay can

make things worse as the member of staff may not realise that they are below standard unless they are told. Arrange to speak to the member of staff as soon as possible – the matter may then be able to be dealt with in an informal manner or as Stage1 of the Disciplinary Procedure.

尽量将问题解决在萌芽状态，拖延将使问题恶化，因为员工很难主动认识到个人存在的问题。因此，应尽快安排与员工会谈，力图以非正式的方式解决或对该员工启动违纪处理1阶段程序。

4. Gather the Facts 收集事实根据

4.1. By acting promptly the relevant Line Manager can clarify what the problem is and

gather information before memories fade, including anything the employee has to say. Where necessary, statements should be obtained from witnesses at the earliest opportunity. Keep records of what is said – copies may need to be given to the individual if the matter progresses any further. Relevant personal details such as previous performance, length of service and any current warnings will need to be obtained before the meeting, as well as any appropriate records and documents. 通过及时采取行动，直接主管领导可尽早弄清所出现的问题并及时从当事人处收集信息，包括员工本人对情况的说明。必要时，可在第一时间从目击证人处获得证言并做记录，如果事态进一步发展，可提供记录复件。在会议召开前收集员工相关信息，如此前的表现，入职时间，是否被给予警告以及其他必要的记录和文件等。

5. Be Firm and Fair 坚定，公平

5.1. Whilst maintaining satisfactory standards and dealing with disciplinary issues

requires firmness on the part of the manager, it also requires fairness. Be as objective as possible, keep an open mind, and do not prejudge the issues.

主管领导在维持工作标准和处理违纪问题时需要有坚决的态度，做到公平、公正，客观，不急于做出结论。

6. Stay calm 保持冷静

6.1. Conduct enquiries, investigations and proceedings with thought and care. Avoid

snap decisions or actions in the heat of the moment. The disciplining of a member of staff is a serious matter and should never be regarded lightly or dealt with casually. 在询问、调查和程序执行过程中应融入适当的关照。避免过早做出决定或草率行事。员工的违纪行为是严重事件，不可轻视或敷衍。

7. Be Consistent 一致性

7.1. The attitude and conduct of a member of staff may be seriously affected if

management fails to apply the same rules and considerations to each case. Try to ensure that all members of staff are aware of the University‘s normal practice for dealing with misconduct or unsatisfactory performance.

如果主管领导对同样性质的违纪处分不同，员工的态度和行为可能会因此受到严重影响。应努力确保全体员工对学校违纪处理办法有统一的认识，并认识到学校在

处理方法上的一致性。

8. Consider Each Case on Its Merits 从宽原则

8.1. While consistency is important, it is also essential to take account of the

circumstances and people involved. Personal details such as length of service, past disciplinary history and any current warnings will be relevant to such considerations. Any provocation or other mitigation also needs to be taken into account. Any decision to discipline a member of staff must be reasonable in all the circumstances and must not discriminate on grounds of age, race, sex, disability, sexual orientation or religion or belief.

学校在保持一致性的同时，也应考虑到事件发生的背景和所涉及人员，以及员工本人入职时间、违纪历史及是否被给予警告等情况。任何挑衅或化解矛盾的行为也应被予以关注。任何情况下，无论年龄、种族、性别、残疾、性取向及宗教信仰，对员工做出违纪处分决定都必须合理、公正。 9. Follow the disciplinary procedure 尊重程序

9.1. The disciplinary procedure must be followed and the Head of Department or Line

manager should never exceed the limits of his or her authority. 部门负责人或直接主管领导必须遵守违纪处理程序，不得越权。 Taking Disciplinary Action 违纪处分

1. Introduction 引言

1.1. This document has been produced to ensure a fair a consistent approach to taking

disciplinary action.

此文件旨在确保违纪处理办法的一致性。 2. General 综述

2.1. Key Points 重点

? The decisions that are made at the end of a disciplinary meeting are whether to

take disciplinary action, if so what, and whether any other action should be taken (for example, training or job change)

在违纪会议结束时决定是否需要给予该员工违纪处分，如果需要，是否采取其他措施（如培训或职责调整）。

? Before deciding whether a disciplinary penalty is appropriate and at what level,

consider the disciplinary and general record of the member of staff, whether the University‘s rules point to the likely penalty, action taken in previous cases, any explanations and circumstances to be considered and whether the penalty is reasonable.

在做出任何处分决定之前，应参考该员工的总体表现和违纪记录并结合校规，先例，事情发生的背景及当事人情况说明等。还应考虑处分的合理性。

? Leave the member of staff in no doubt as to the nature of the disciplinary

penalty, the improvement expected and the need to sustain the improvement. 确保员工对处分的性质、改进的要求及必要性等不存在任何疑问。

? Give the member of staff written details of any disciplinary action.

向员工提供书面处分说明。

? Keep records of disciplinary action secure and confidential. Give a copy of the

record to the member of staff concerned.

对处分记录应严格保密。员工本人可保留一份复件。

? Do not allow disciplinary action to count against an individual indefinitely.

不得以此处分为借口处处刁难该员工。

3. What should be considered before deciding any disciplinary penalty?

处分决定之前需考虑的因素

3.1. When deciding whether a disciplinary penalty is appropriate and what form it should

take, consideration should be given to:

在对处分的量度和形式做出决定时，应充分考虑或参考：

? Whether the rules of the University indicate what the likely penalty will be as a

result of the particular misconduct.

学校校规是否对此种不当行为的处理方法做出了规定。 是否有先例可供参考

? The penalty imposed in similar cases in the past.

? The disciplinary record, of the member of staff, general work record, work

experience, position and length of service.

员工违纪记录、总体工作表现、工作经验、职位及入职时间。

? Any special circumstances which might make it appropriate to adjust the severity

of the penalty.

是否存在可酌情减轻处分的特殊情况

? Whether the proposed penalty is reasonable in view of all the circumstances.

综合各方面考虑此处分是否恰当

3.2. It should be clear what the normal University practice is for dealing with the kind of

misconduct or unsatisfactory performance under consideration. This does not mean that similar offences will always call for the same disciplinary action, each case must be looked at on its own merits and any relevant circumstances taken into account. Such relevant circumstances may include health or domestic problems, provocation, ignorance of the rule or standard involved or inconsistent treatment in the past. Take the opportunity to review rules and procedures and the University's communications with members of staff. Look at consistency of process and investigation rather than just at outcomes.

我们应了解其它大学在处理此种违纪行为时的通常做法。但并不意味着对类似行为都

将予以相同的违纪处分。对待个案应综合各方面因素从宽看待。包括健康或家庭因素、挑衅、对规定或标准的忽视或非一致性对待等。同时应借此机会回顾学校的规定、程序及与该员工的沟通，同时关注程序和调查的一致性。

3.3. If guidance is needed on formal disciplinary action, request advice from the Human

Resources Office

就违纪处理的更多程序及指导性原则，可咨询人力资源办公室。

4. Imposing the disciplinary penalty 违纪处分执行

First formal action – unsatisfactory performance 正式处分--- 表现欠佳

4.1. In cases of unsatisfactory performance, a member of staff, following previous

informal discussions should be given an 'improvement note, setting out:

对于工作表现不达要求的员工，应首先与其进行非正式会谈，而后发出―改进通知‖，―通知‖内容包括：

? The performance problem 所存在的问题 ? The improvement that is required 改进要求

? The timescale for achieving this improvement 改进期限 ? A review date 检验日

? Any support the employer will provide to assist the member of staff 改进支持

4.2. The member of staff should be informed that failure to improve could lead to a final

written warning and, ultimately, dismissal. A copy of the note should be kept and used as the basis for monitoring and reviewing performance over a specified period. 应告知员工，如未按要求改进，将被予以最终书面警告，直至最终辞退。应保留通知副本，以此作为特定时期内回顾和监控该员工表现的基础。 However, if the unsatisfactory performance, or its continuance, is sufficiently serious, for example, because it is having, or is likely to have, a serious harmful effect on the University, it may be justifiable to move directly to a final written warning.

但是，如果员工表现不达要求或持续欠佳的情况较为严重，例如，已经或将会给学校带来不利影响，则可直接对其发出最终书面警告。