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Disciplinary Procedures for Academic and Academic Related Staff

Only effective for cases which commenced before 15th February 2012.

The Disciplinary Procedures for Academic and Academic Related Staff are in Appendix M. These procedures have been agreed between the University and UCUG following the modification to the Ordinances of the University by the University Commissioners on 28 October 1992 in exercise of the powers conferred on them by section 204 of the Education Reform Act 1988. They shall apply to those staff who have been recognised by the University Court for the purposes of the Ordinances as herein defined.

For Clinical Academic Staff on honorary contracts with a NHS Trust hospital where any question arises between the Trust and the member of staff, in relation to professional conduct or professional competence, the contract will be subject to the provisions of the NHS Circular No. 1990 (PCS) 8, particularly at paragraphs 16 and 17 of Annex C. Any findings made as a result of any investigations made under that Circular, will be referred to the University for consideration under the relevant University procedures. Copies of the relevant documents are available, on request, from University Human Resources Department.

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Appendix M

Disciplinary Procedures for Academic and Academic Related Staff

1. Introduction

These disciplinary procedures have been agreed between the University and the Glasgow AUT following the modifications to the Ordinances of the University by the University Commissioners on 28 October 1992 in exercise of the powers conferred on them by section 204 of the Education Reform Act 1988. They shall apply to those staff who have been recognised by the University Court for the purposes of the Ordinances as herein defined.


2. Definitions

The following definitions are relevant to the application of these procedures:

Disciplinary Action

A formal warning or imposition of other penalty following a disciplinary hearing.

Disciplinary Hearing

A meeting at which an allegation of misconduct is formally considered and which may give rise to disciplinary action.

Disciplinary Procedures

The code of practice, as set out in this agreement, relating to the management of misconduct.

Disciplinary Proceedings

Action following an allegation of misconduct.

Head of School/RI

The Head of School as appointed by the Court, or such other person to whom the Head of School/RI shall have specifically delegated the responsibility of dealing with disciplinary matters.

Member of Staff

(a) The Professors, Readers, Senior Lecturers, Lecturers and Research Fellows;

(b) The Secretary of the University Court, the University Librarian, and those members of the staff of the University who are paid on academic-related salary scales and who have been recognised as Officers of the University in accordance with the procedures prescribed by the University Court;

(c) The Principal of the University, to the extent and in the manner set out in the Annex to the Ordinance.

Misconduct

Any act or commission by a member of staff adversely affecting the performance of, or incompatible with, the duties of his or her post.

Working Day

Monday to Friday, excluding Public Holidays, Statutory or other University Holidays.


3. General provisions

3.1 The University undertakes to deal with any disciplinary matter in a manner and at a level appropriate to the seriousness of the alleged misconduct. Disciplinary proceedings will not normally be initiated unless the member of staff has previously received an explanation of the unsatisfactory nature of his or her conduct. Every reasonable assistance will be given to the member of staff, whether through counselling, advice or training, to improve his or her performance.

3.2 Human Resources Service shall normally advise on the application of these procedures; that they have not been consulted shall not, in itself, constitute a defect in these procedures. Human Resources Service shall also be responsible for ensuring that best practice is observed throughout the implementation of the procedures. Nothing in the foregoing shall preclude a member of staff, against whom disciplinary proceedings have been initiated, from seeking the advice of Human Resources Service.

3.3 No grievance shall lie against any officer of the University who has participated in disciplinary proceedings, save where the grievance alleges malice, prejudice or other unreasonable conduct.

3.4 All procedures and proceedings shall be governed by the principles of natural justice and fairness. In particular, no finding shall be made concerning any allegation unless the member of staff concerned has been afforded the opportunity to be present and to be heard and to call and cross-examine witnesses.

3.5 No person shall adjudicate any case under any stage of these procedures who has previously adjudicated the same case, whether formally or informally, and whether within or outwith the University.

3.6 The member of staff is entitled to be accompanied or represented only by another member of staff or by a representative of the recognised trade union at any disciplinary hearing at which a matter falling short of dismissal for "good cause" is being considered. Where a matter is being considered which, if substantiated, would constitute "good cause" for dismissal, the member of staff may be represented by any person.

3.7 Any allegation of misconduct shall lead to an investigation in terms of paragraph 4 hereof.

3.8 Unless a prima facie case of misconduct is established, a disciplinary hearing will not be convened.

3.9 Subject to the detailed provisions of these procedures, the member of staff shall be advised as early as possible and in writing of the intention to hold a disciplinary hearing; all documentation concerning the matter shall be made available to the member of staff in advance of the hearing.

3.10 A disciplinary hearing will require to be satisfied that an allegation of misconduct has been established before a penalty may be imposed.

3.11 In determining whether the alleged circumstances constitute minor, serious, or gross misconduct, the University shall have regard to the Ordinance under which these procedures have been established, and to the guidelines laid down by the Advisory Conciliation and Arbitration Service (ACAS). In particular, gross misconduct shall be understood to be behaviour which, if proved, would constitute "good cause" for dismissal as defined by the Ordinance Paragraph 5 (1) (a), (b), (c).

3.12 The University regards persistent failure by a member of staff to achieve an acceptable standard of performance of the duties of his or her post, over a period of time and despite previous oral and written warnings, as rendering the member of staff liable to further disciplinary action, which may include dismissal.

3.13 Notwithstanding the provisions of paragraph 3.1, while an allegation or serious or gross misconduct against a member of staff is under investigation, the Director of Human Resources Service, acting on the Principal's delegated authority shall have the power, where it appears necessary and for reasons stated, to suspend that member of staff on full pay for a period not exceeding one month, or, where the matter is subject to investigation by the police, for the duration of that investigation. Any extension of this period shall require the explicit approval of the Principal, for reasons stated, for a period not exceeding one month at a time, and shall be reported to the next meeting of the University Court.

3.14 A member of staff whose suspension has been continued by the Principal may make representations in writing to the Secretary of Court. Any such representation shall be considered by the next meeting of Court, and the decision communicated within three working days.

3.15 All notices, warnings, and other communications required by or in connection with the disciplinary proceedings shall be conveyed by Human Resources Service. Such communications will be in writing and either delivered personally or sent by recorded mail to the home address of the member of staff as last notified to Human Resources Service and to his or her School/RI address.

3.16 Any time limits for notification or disclosure referred to in these procedures shall be determined by the date of receipt by recorded delivery or by the date of delivery in person.

3.17 In determining time-scales for reply under the procedures, the University, having regard to the gravity of the alleged misconduct, may take into consideration any periods of duly authorised absence. The member of staff shall be responsible for ensuring certified delivery by any date or within any time period duly specified.

3.18 All parties to a case shall be kept informed of the progress of the case.


4. The investigation

4.1 When an allegation of misconduct is made an investigation shall take place, normally by Human Resources Service, in order to ascertain the facts, in so far as this is possible.

4.2 The member of staff shall be notified of the initiation of the investigation and shall, at that time, be sent a copy of these procedures and shall be advised of his or her right to be accompanied or represented in conformity with the terms of paragraph 3.6.

4.3 In circumstances in which an investigation of a matter of general concern indicates the possibility of a misconduct by a member of staff, the member of staff shall be advised accordingly and shall be sent a copy of these procedures. Such further investigation as may be shall take place.

4.4 The member of staff shall be provided with a report of the outcome of the investigation and shall be advised whether the matter is proceeding. Except in cases of minor misconduct, the member of staff will be given an opportunity of providing a written commentary on the report. If no comment is received within ten working days, the matter will proceed as if the member of staff had denied the allegation(s) of misconduct.

4.5 The report and the written commentary shall provide the basis of the documentation, considered during the disciplinary proceedings.

4.6 Where the matter being investigated is misconduct in research the Code of Policy and Procedures for Investigating and Resolving Allegations of Misconduct in Research will be used in preference to the investigation procedure detailed above.


5. Misconduct falling short of good cause for dismissal

Section 13 of the Ordinance of the University Commissioners deals in general terms with disciplinary matters and provides:

(1) Minor faults shall be dealt with informally.

(2) Where the matter is more serious but falls short of constituting possible good cause for dismissal the following procedure shall be used:-

Stage 1 - Oral Warning

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

Stage 2 - Written Warning

If the offence is a serious one, or if a further offence occurs, a WRITTEN WARNING will be given to the member of academic staff by the Head of School/RI. This will give details of the complaint, the improvement required and the time scale. It will warn that a complaint may be made to the Secretary of the University Court seeking the institution of charges to be heard by a Tribunal appointed under [the provisions of the Ordinance] [Section 11 below] if there is no satisfactory improvement and will advise of the right of appeal under this paragraph. A copy of this written warning will be kept by the Head of School/RI but it will be disregarded for disciplinary purposes after two years subject to satisfactory conduct and performance.

Stage 3 - Appeals

A member of the academic staff who wishes to appeal against a disciplinary warning shall inform the Secretary of the University Court within two weeks. A Vice Principal designated by the Principal shall hear all such appeals and his decision shall be final.

In the circumstances of the foregoing, the provisions of paragraphs 6 to 10 below will apply.


6. Disciplinary hearings

6.1 Where a disciplinary hearing is to take place, the University shall give the member of staff notice in writing at least 10 working days (or 15 working days in the case of a Tribunal) in advance of the proposed date of the hearing and in so doing shall specify:

  • (a) whether proceedings are being brought under Stage One (Oral Warnings) or Stage Two (Written Warnings) as defined by Part III paragraph 13.2 of the Ordinance;
  • (b) the allegations enclosing the report of the investigation and such commentary upon it as shall have been submitted by the member of staff;
  • (c) the date and place of the hearing and the name of the person who will be conducting the disciplinary hearing, who may, on sufficient cause shown, agree an alternative date;
  • (d) that the member of staff has the right to be accompanied at the hearing by a University colleague or a representative of the recognised trade union.

6.2 At least 5 working days in advance of the hearing the member of staff shall receive such further documentation as the University intends to place before the hearing in support of the allegations.

6.3 If a member of staff fails to attend a disciplinary hearing of which he or she has received due notice, the University shall give him or her at least 10 working days notice of a further meeting. The member of staff shall be advised that if he or she again fails to attend or to give satisfactory reasons for being unable to do so, the hearing shall normally proceed in his or her absence.

6.4 A request for an adjournment will not normally be refused provided that it be for the purposes of further investigation, obtaining witnesses, seeking further evidence, or checking of facts. Such an adjournment will not normally be for more than five working days.

6.5 Within five working days of the hearing, the member of staff shall be advised in writing

  • (a) whether the allegation of misconduct has been established to the satisfaction of the hearing;
  • (b) if the allegation has been sustained, whether a warning is being given and if so the nature of the warning;
  • (c) the period during which the warning, if given, shall remain on file;
  • (d) the consequences of a recurrence of the same or similar action;
  • (e) the right of appeal and the associated procedures;
  • (f) any steps which the member of staff is required to take in order to improve his or her performance.

6.6 All warnings shall be conveyed in writing by Human Resources Service on behalf of the officer in accordance with paragraph 3.14 above.


7. Oral warning

7.1 Subject to the general provisions, a member of staff whose performance is alleged to be unsatisfactory or who has allegedly engaged in minor misconduct shall be summoned to a disciplinary hearing which shall normally be conducted by the Head of School/RI.

7.2 Where it is concluded that disciplinary action is necessary, an oral warning will be issued, a record of which will remain on file for a period of 12 months, after which no further reference may be made to it.


8. Written warning

8.1 Subject to the general provisions, a member of staff whose performance continues to be unsatisfactory during the period in which a record of a warning is on his or her personal file, or who allegedly engages in serious misconduct, shall be summoned to a disciplinary hearing normally conducted by the Head of School/RI.

8.2 Where it is concluded that disciplinary action is necessary, a written warning which may be a final written warning will be issued, a record of which will remain on file for a period of 24 months, after which no further reference may be made to it. Alternatively, an oral warning may be issued subject to paragraph 7.2 above.


9. Further disciplinary action

Where a member of staff engages in further misconduct, of whatever nature, during the period during which a final written warning is on record, he or she shall be subject to further disciplinary action which may include the initiation of proceedings leading to dismissal. In the event that the matter under consideration falls short of the initiation of dismissal procedures, the Head of the College shall conduct a hearing which may lead to the extension for twelve months of the duration of the final written warning. In the event of further misconduct during this period, dismissal procedures will be initiated.


10. Appeals

10.1 A member of staff who wishes to appeal against a disciplinary warning shall advise the Secretary of the University Court in writing, giving the reasons for the appeal, normally within ten working days of receipt of the warning.

10.2 A Vice Principal designated by the Principal shall hear all such appeals in accordance with the general provisions for hearings contained in paragraph 6 hereof.

10.3 The member of staff shall be informed by written communication, sent within five working days, of the outcome of the hearing. The Vice-Principal's decision shall be final.


11. Misconduct constituting good cause for dismissal

Section 5 of the Ordinance of the University Commissioners provides:

For the purposes of this Ordinance "good cause" in relation to the dismissal or removal from office of a member of the academic staff, being in any case a reason which is related to conduct or to capability or qualifications for performing work of the kind which the member of the academic staff concerned was appointed or employed to do, means:

  • (a) conviction for an offence which may be deemed by a Tribunal appointed under Part III to be such as to render the person convicted unfit for the execution of the duties of the office or employment as a member of the academic staff; or
  • (b) conduct of an immoral, scandalous or disgraceful nature incompatible with the duties of the office or employment; or
  • (c) conduct constituting failure or persistent refusal or neglect or inability to perform the duties or comply with the conditions of office; or
  • (d) physical or mental incapacity established under Part IV.

Section 14 of the Ordinance provides:

(1) If there has been no satisfactory improvement following a written warning given under Stage 2 of the procedures, or in any other case where it is alleged that conduct or performance may constitute good cause for dismissal or removal from office, a complaint seeking the institution of charges to be heard by a Tribunal appointed under Paragraph 16 may be made to the Secretary of the University Court who shall bring it to the attention of the Principal of the University.

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

(3) If it appears to the Principal that a complaint brought to his attention under sub-paragraph 1 relates to conduct or performance which does not meet acceptable standards but for which no written warning has been given ... or which relates to a particular alleged infringement of rules, regulations or byelaws for which a standard penalty imposed in the University or within the College, School/RI/Service or other relevant area, or is trivial or invalid he may dismiss it summarily, or decide not to proceed further under this part.

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

(5) Where the Principal proceeds further under this Part he shall write to the member of the academic staff concerned inviting comment in writing.

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

  • (a) dismiss it himself; or
  • (b) refer it for consideration under [procedures relating to misconduct which does not constitute good cause]; or
  • (c) deals with it informally himself if it appears to the Principal appropriate to do so and if the member of academic staff agrees in writing that the matter should be dealt with in that way; or
  • (d) direct the Secretary of the University Court to prefer a charge or charges to be considered by a Tribunal ...

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

Procedures for the conduct of the business of the Tribunal are set out in the following paragraphs, which shall be made as Regulations for the purposes of the Ordinance.


12. Remit and composition of the tribunal

12.1 In any case where the Principal has directed that a charge or charges be preferred, he shall request the University Court to appoint a Tribunal to hear the charge or charges and to determine whether the conduct or performance of the member of staff concerned constitutes good cause for dismissal or otherwise constitutes a serious complaint relating to the member's appointment or employment.

12.2 The Principal shall direct the Clerk of Senate to consult with UCUG with a view to nominating a member of the Senatus Academicus, normally a former Senate Assessor, to serve on a Tribunal. The Principal shall normally act on behalf of the Senate in this matter, reporting to the subsequent meeting of the Senate.

12.3 The University Court shall appoint a Tribunal comprising a Chair; one member of the University Court, not being an employee of the University; and one member of the Senate nominated in conformity with 12.2 above.

12.4 The Secretary of the Court will advise UCUG of the proposed composition of the Tribunal prior to the meeting of the Court which establishes it.


13. Procedures

13.1 Where a Tribunal has been appointed by the Court under Part III of the Statute, the member of staff shall be informed in writing by the Secretary of the University Court that the Tribunal has been appointed and of the charge or charges which have to be answered before the Tribunal. The member of staff will be reminded of his or her right to be accompanied or represented in terms of paragraph 3.6 above.

13.2 The member of staff should be given at least 15 working days notice of the first meeting of the Tribunal and of its likely duration. Subsequent meetings of the Tribunal shall be determined as necessary providing that in all cases at least 5 days notice of the meeting shall be given to both parties.

13.3 Where a member of staff fails to attend the hearing of which due notice has been given, the University shall give him or her at least 10 working days notice of a further meeting. The member of staff shall be advised that, in the event of further failure to attend or to give satisfactory reasons for being unable to do so, the hearing shall normally proceed in his or her absence.

13.4 The charges shall be presented by the Secretary of Court, or such other person, legally qualified or not, from within or outwith the University, appointed by the Secretary of Court.

13.5 Witnesses may be called by the Secretary of Court in support of the charges; their names and the reasons for their appearance shall be made available to the member of staff at least 10 working days before the date of the Tribunal.

13.6 Documents or other materials submitted in support of the charges shall be made available to the member of staff at least 10 working days before the meeting of the Tribunal. Where materials are in a form not suitable for copying the member of staff shall be provided with a reasonable opportunity to inspect such materials.

13.7 The member of staff shall have the right to present evidence and to be heard. If it is intended that witnesses will be called in support of the member of staff, their names and the reasons for their appearance together with copies of any documents or other materials will be submitted to the Secretary of Court at least 5 working days before the meeting of the Tribunal. Where materials are in a form not suitable for copying, the Secretary of Court shall be given a reasonable opportunity to inspect those materials at least 5 working days before the meeting of the Tribunal.

13.8 Notwithstanding the foregoing, the Tribunal (or the Chair acting on its behalf) may exceptionally and on cause stated, allow additional witnesses, documents or materials not timeously intimated.

13.9 On the motion of either party or at its own discretion, the Tribunal may postpone or adjourn the hearing of the charge or charges in the interests of justice and fairness.

13.10 The Tribunal may at any stage of the proceedings dismiss the charge or charges for want of prosecution or remit the charge or charges to the Principal for further consideration.

13.11 The Tribunal may, on the motion of either party or at its own discretion, permit the correction of accidental errors made by either party or in the administration of the proceedings, having regard to the principles of justice and fairness.

13.12 Witnesses may be examined, cross-examined, re-examined and questioned by members of the Tribunal.

13.13 After all the evidence has been tendered, the Secretary of the Court and the member of staff in that order may make submissions on the charges.

13.14 The Tribunal shall thereafter meet in private and determine its decision(s) on the charge(s) referred to it. The Tribunal shall forward its decision on any charge referred to it (together with its findings of fact and the reasons for its decision regarding that charge and its recommendations, if any, as to the appropriate penalty) to the Principal and to each party to the proceedings. Such decision will normally be submitted within 10 working days of the conclusion of the hearing.


14. Implementation of the decision

14.1 Where any of the charge or charges is upheld and the Tribunal finds good cause and recommends dismissal or removal from office, the Principal shall decide whether or not to dismiss the member of staff concerned.

14.2 In any case where the charge or charges are upheld, other than where the Principal has decided under sub-paragraph 14.1 to dismiss the member of the academic staff concerned, the action available to the Principal shall not comprise a greater penalty than that recommended by the Tribunal and may be:

  • (a) to discuss the issues raised with the member concerned; or
  • (b) to advise the member concerned about his or her future conduct; or
  • (c) to warn the member concerned; or
  • (d) to suspend the member concerned for such period as the appropriate officer shall think fair and reasonable, not to exceed 3 months after the Tribunal's decision; or
  • (e) any combination of the above or such further or other action under the member's contract of employment or terms of appointment as appears fair and reasonable in all the circumstances of the case.

14.3 Any action taken by the Principal shall be confirmed in writing.

14.4 The member of staff shall be advised of the right of appeal.


15. Appeals

15.1 Notice of appeal shall normally be lodged within 20 working days of the date on which the Principal's decision was notified. It shall be served upon the Secretary of the University Court who shall bring notice thereof and the date on which it was served to the attention of the Court advising the member of staff accordingly. Where the notice of appeal was served on the Secretary of the University Court outside the 20 day period, the person appointed to hear the appeal shall not permit the appeal to proceed unless he or she considers that justice and fairness so require.

15.2 On receipt of notice of an appeal, the Court shall appoint a person to hear and determine that appeal (hereafter referred to as the person appointed). The person appointed shall be a person not employed by the University and not a member of the Court, who holds or who has held, judicial office or who is an advocate or solicitor of at least ten years standing. The person appointed shall not have been previously associated with the business under appeal.

15.3 The person appointed shall sit alone unless he or she considers that justice and fairness will best be served by sitting with two other persons. In such circumstances, the other persons shall be one member of the Court, not being a person employed by the University; and one member of the academic staff nominated by the Senatus Academicus following consultation with UCUG. In neither case shall either member nominated under this section have been previously associated with the business under appeal.

15.4 The procedures followed in consideration of the appeal shall be those applied during the hearing by the Tribunal, save that the person(s) hearing the appeal may allow or dismiss an appeal in whole or in part and may:

  • (a) remit an appeal for re-hearing by a differently constituted tribunal to be appointed;
  • (b) substitute any lesser alternative penalty which would have been open to the Principal under the provisions of paragraph 14.2 above following the finding of the Tribunal which heard and pronounced upon the original charge(s).

15.5 The decision of the appointed person(s) shall be transmitted in writing to the Principal and to each party to the proceedings within 10 working days of the date of the conclusion of the appeal hearing.

15.6 The decision of the appointed person(s) will be final.


16. Dispensing powers

16.1 The person appointed to conduct a disciplinary hearing, the Chair of a Tribunal, a Vice Principal conducting an appeal, a person appointed to hear an appeal from a Tribunal or the Principal shall have power, in terms of dealing with matters before them in terms of these procedures, acting reasonably and in the interests of justice and fairness at the request of any party to the proceedings or ex proprio motu extend any time limits imposed by these procedures or modify any of the requirements imposed by the procedures.


17. Misconduct in research

Irrespective of whether there is found to be good cause for dismissal, where disciplinary action is considered necessary in respect of misconduct in research, such action may include the University:

(a) conveying the outcome of the Disciplinary Proceedings to any professional body (e.g. the General Medical Council), any relevant grant-awarding bodies or any other public body with any interest, the editors of any journals which have published articles by the person against whom the allegation has been upheld or any other body which, in the opinion of the University, is likely to be affected by the research misconduct in question. All such disclosure must be limited to misconduct upheld in relation to research relevant to such bodies or published by such journals;

(b) recommending to the Senate, where misconduct has been established and the research concerned contributes to or contributed to a degree or other academic award of the University, the revoking or withholding of that award.


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