Disciplinary procedures for academic staff covered by the Model Statute
Introduction
These disciplinary procedures for academic staff are drafted in accordance with the provisions of the Statutory Instrument 1992 No 2685 The University Commissioners (Statute Modifications) (University of St Andrews) Order 1992. Separate procedures govern grievance, redundancy and removal for incapacity on medical grounds.
Occasionally problems of conduct or behaviour may arise which cannot be resolved by positive advice and encouragement alone. In the first instance any difficulties should be tackled within the framework of Progress Review, staff development, counselling, alcohol policy, etc. Colleagues are encouraged to contact Human Resources for details of and advice on these various options. Normally only after these alternative routes have been exhausted will the following disciplinary procedures be used. The University will at all times endeavour to process disciplinary matters in a sensitive and positive fashion. These procedures ensure that all parties have ample opportunity to present their case and offer scope, in appropriate circumstances, for solutions which do not necessarily involve the imposition of formal penalties.
Informal advice on these procedures is available from Human Resources. Alternatively, the AUT, as the recognised trade union for academic staff will be able to provide support. This document serves as a users' guide to the disciplinary process. A copy of the Statutory Instrument, on which it is based, may be obtained from Human Resources or the AUT.
In summary the disciplinary procedures are as follows:
- Informal - School-based.
- Informal - possible solution by deputy of the Principal.
- Formal (Minor faults) - which fall short of possible dismissal dealt with by the deputy of the Principal.
- Formal (Serious faults) - which may warrant dismissal (this also includes instances where remedies sought under Stage 1 (Minor Faults) have been unsuccessful) dealt with by the Principal and/or Tribunal.
Definition of terms
In this document:
- a reference to "academic staff' relates only to those colleagues holding permanent or temporary contracts with the job titles of Professor, Reader, Senior Lecturer and Lecturer and to any colleagues paid on academic-related scales which the University Court may, from time to time, deem to be subject to the Ordinance of the University Commissioners in relation to which these procedures have been formulated (no additional groups have been designated at this time);
- a reference to "deputy of the Principal" relates to the Vice-Principal or Master or other recognised officer in accordance with whichever of these officers is responsible, at the time of the proceedings, for the management of the unit in which the academic member of staff charged under these procedures was employed at the time at which the alleged offence occurred.
Lesser disciplinary matters
(Administrative support for all steps in these procedures will be provided by Human Resources.)
Informal level
Minor faults may be dealt with informally at the level of the School or unit and no record will be kept.
When a minor fault either has not been successfully resolved within the appropriate School or does not fall within the scope of another procedure (e.g. the Grievance Procedure), it will be referred to the appropriate deputy of the Principal as a lesser disciplinary matter. In such cases, the University will in appropriate instances, seek to take advantage of the informality of this particular process to arrive at constructive solutions to problems.
When dealing with minor faults, the deputy of the Principal will listen to the arguments from all sides (oral and/or written) and, on the basis of the information provided and, if appropriate, meetings between the parties concerned, determine an appropriate course of action which may deal with the matter by informal means. This will only be possible with the agreement of the parties concerned. If this is not possible (s)he or may refer the matter (with the agreement of both parties) to grievance or may determine that it should be dealt with by the formal mechanism set out in 2 below.
Formal
When remedies agreed at the informal level fail to redress the original problems or when the matter is more serious but falls short of constituting possible good cause for dismissal the deputy of the Principal will treat the matter under formal procedures. The deputy of the Principal will review any written evidence which the parties may wish to submit and meet with the parties concerned, giving 14 days notice in writing of this meeting. Both parties will be given copies of the evidence and charge and at the meeting the individual facing discipline may be accompanied by a trade union representative or an employee of the University and will have the opportunity to state her/his case. If the individual concerned fails to appear without adequate reason, the deputy of the Principal will proceed as if the individual has denied the truth of the matter. If on the basis of all of the evidence presented the deputy of the Principal believes that the case has not been made (s)he will dismiss the charge and no record will be kept on the individuals file. If s(he) believes there is good cause, s(he) will impose a warning as follows (no warning can be imposed without the deputy of the Principal calling a hearing in the manner set out above):
- Oral Warning - If the matter is relatively minor, or if it is the first time that the member of staff has been involved in the disciplinary process, a formal Oral Warning will normally be given. At the same time as giving this warning the deputy of the Principal will inform the member of staff of the reasons for this course of action, that this is the first stage of the disciplinary procedure and that there is a right of appeal. The Oral Warning will detail the complaint, specify the remedial action required and set a timescale for improvement. A brief record of the Oral Warning will be held on the individual s file in Human Resources but it will be spent after twelve months, subject to satisfactory conduct and performance during that period. Once the warning has been spent it will be removed from the files.
- Written Warning - If the offence is more serious or if an offence (or related offence) for which an Oral Warning has already been given is found to have been repeated, the member of staff will be given a Written Warning by the deputy of the Principal. Such a warning will only be issued after the deputy of the Principal has investigated the matter as described above for Oral Warnings. The Written Warning will detail the complaint, specify the remedial action required and set a timescale for improvement. In addition, when the Written Warning is issued, the deputy of the Principal will inform the individual concerned that if there is no satisfactory improvement in performance a complaint may be made to the Secretary of the University referring the case to a Tribunal charged with hearing serious disciplinary matters and will advise that there is a right of appeal. A copy of the Warning will be held on the individuals file in Human Resources but will be disregarded for disciplinary purposes after two years subject to satisfactory behaviour and performance.
- Appeals - If a member of the academic staff wishes to appeal against either an Oral or a Written Warning, (s)he must advise the Secretary of the University accordingly within two weeks of the warning being issued. The warning will be suspended pending the outcome of the appeal though any suspension from work (which will be with pay) may remain in force. An Appeal will be heard by whichever deputy of the Principal has not been involved in any of the earlier stages of the disciplinary process. The appeal process will be completed within 28 days of being lodged with the Secretary. The officer will review the evidence previously submitted and the evidence submitted by the appellant on which her/his appeal is based. At this point the deputy of the Principal may summarily dismiss or uphold the appeal. Where the deputy of the Principal determines that there is a case to answer (s)he will continue hearing the appeal and will provide all parties previously involved with the opportunity to present their cases. Both parties will have the right to be represented and may call and question any witnesses. On the basis of this hearing (s)he will then either uphold or dismiss the appeal or modify the nature of the warning given. If the appeal is upheld no record win be held on the individuals file.
Serious disciplinary matters
- Introduction - This procedure will be used where those bringing the complaint believe that a matter is sufficiently serious as to constitute good cause for dismissal or removal from office. It will also be used when a Written Warning has not produced adequate improvement in conduct or performance.
- The Charges - Charges in relation to serious faults should, in the first instance, be brought to the attention of the Secretary of the University who will place them before the Principal. It will be the Principal's responsibility to ensure that the matter is dealt with fairly by instituting whatever investigations (s)he deems necessary.
- Preliminary Investigation - After an initial investigation the Principal may decide to dismiss the case summarily if it appears to her/him that the matter :
- relates to conduct or performance in relation to which no previous valid written warning has been issued; or
- relates to any type of misdemeanour for which the University may have a standard penalty; or
- is invalid or trivial.
- Submission of Evidence - However, the Principal is satisfied that there are sufficient grounds to proceed, (s)he will write to the member of staff concerned asking for comments. The Principal may suspend an individual on full pay. The member of staff will be given twenty-eight days to respond to the Principal's request. On the basis of all of the relevant evidence available when any reply is received, the Principal will decide which of the following courses of action to follow:
- to dismiss the case her/himself., or
- to refer the matter to her/his appropriate deputy for consideration as a lesser disciplinary matter; or
- to deal with the matter informally her/himself if s(he) believes this to be appropriate and the member of staff concerned agrees in writing that the matter should be dealt with in this way; or
- to instruct a University officer not previously involved in the case to draw up a charge or charges that will be considered by a specially constituted Tribunal.
- Failure to Respond - If no comments are received from the individual concerned the Principal will proceed as if the individual concerned had denied the substance and validity of the alleged case in its entirety.
- The Tribunal Procedures -
- Tribunal Composition - If a case is to be heard by a Tribunal the Principal will request the University Court to appoint a Tribunal with the following membership:
- A Chairperson
- A Lay member of Court
- A nominee of Senate who will be a colleague defined as an academic in the terms of the Education Reform Act 1988
Those appointed to a Tribunal will be drawn from a standing list of Court and Senate nominees. The Chairperson will normally be a lay member of the University Court.
The quorum for the Tribunal will be three.
The Tribunal will act independently and impartially in accordance with the principles of justice and fairness and will respect the confidentiality of the proceedings.
Human Resources will provide administrative support to the Tribunal.
- Appropriate Officers - The Tribunal will be instructed to hear the charge or charges within twenty-eight days of it being established by the University Court and to decide whether the conduct or performance of the individual concerned constitutes good cause for dismissal or constitutes a serious complaint relating to the members appointment or employment.
- Administrative Support - Human Resources will be responsible for ensuring that:
- the individual concerned has been provided with copies of the charge and any other supporting papers to which the Tribunal has access at least fourteen days before a hearing;
- witnesses are appropriately summoned;
- the member of staff concerned is aware of her/his right to be represented at all stages of the hearing by another person who may or may not be legally qualified so long as Human Resources has been advised that this right is to be exercised and the name and address of the individual has been supplied;
- a written summary of the proceedings is drawn up.
- Right of Appearance - No case will be heard without the individual concerned being offered the opportunity to appear before the Tribunal to state her/his case. (The member of staff may deny the charge or may confirm its accuracy but wish the Tribunal to take into account mitigating circumstances.)
- Witnesses - Both sides may call witnesses who may be questioned upon the evidence on which the case is based. Where the individual wishes to call her/his own witnesses Human Resources should be advised well in advance of the hearing so that proper arrangements can be made.
- Postponements etc - During a hearing the Tribunal may grant the individual a postponement or adjournment if this is in the interests of reaching a fair and just decision. An adjournment or postponement should not normally be for more than five working days though the Tribunal may, on the advice of Human Resources, agree to longer periods in special circumstances. The most likely cause for a postponement or adjournment would be illness or otherwise reasonable lack of availability on the part of the individual concerned or of key witnesses. The chairperson of the Tribunal may also institute a postponement or adjournment.
- Dismissal/Remission - If as a hearing proceeds, on the basis of the evidence so far submitted, the Tribunal believes that there is no case to answer, it may dismiss the case. Similarly, the Tribunal may refer a case back to the Principal for further preliminary investigation or with the recommendation that a course of action other than that covered in this part of the Disciplinary Procedures be pursued. In this case no record will be held on an individuals personal file.
- Decision - The Tribunal must inform the Principal of its decision and the reasons for this (together with its factual findings) within seven days of its final hearing at which the individual concerned has been present. Where appropriate, the Tribunal will make recommendations to the Principal in relation to the penalty to be imposed. At the same time, the Tribunal will make the same information available to each party to the proceedings.
- Right of Appeal - As well as advising the member of staff of the outcome of the hearing, the Tribunal will ensure that (s)he is aware of the right of appeal. Appeals which must be lodged with the Secretary of the University within twenty-eight days of the issuing of the penalty imposed by the Principal are explained in more detail in a separate document that is available from Human Resources.
- Imposition of Penalties - A Tribunal may not recommend the imposition of any penalties without a properly constituted hearing being held. Any penalties recommended by a Tribunal will be considered by the Principal or his authorised delegate who will communicate the decision on these to the individual concerned in writing within fourteen days of the Tribunal's final hearing at which the individual concerned was present. The Principal may accept the recommendations of the Tribunal or impose a lesser penalty.
- Other Penalties - In cases in which the Principal has decided not to dismiss a member of staff or the Tribunal has recommended a lesser penalty, the Principal may choose to follow one of the following courses of action so long as that identified is no more serious than the Tribunal's recommendation:
- discuss the issues raised with the member of staff concerned with a view to solving any difficulties for the future; or
- advise the member of staff about her/his future conduct; or
- warn the member of staff in writing indicating expected levels of future conduct or performance; or
- suspend the member of staff concerned for any period which is thought fair and reasonable so long as this does not exceed a period of three months commencing at the date at which the Tribunal's decision is announced. The suspension may be with or without pay and may or may not jeopardise rights to other benefits for the duration of the period of suspension; or
- impose any combination of the above or any other action in terms of the member's contract and terms and conditions of employment that the Principal believes to be fair and reasonable in the circumstances.
- Any oral or written warnings which have resulted from proceedings before the Tribunal will have the same force as described in the section entitled "Lesser Disciplinary Matters" (see above).
- Tribunal Composition - If a case is to be heard by a Tribunal the Principal will request the University Court to appoint a Tribunal with the following membership: