Governance

Ordinances

Ordinance 25

DISCIPLINARY AND DISMISSALS PROCEDURE FOR ACADEMIC AND RELATED STAFF

For the purposes of this procedure the definition of “Vice-Chancellor” shall include “Pro Vice-Chancellor” or such other person appointed by the Vice-Chancellor to consider or decide matters on his behalf.
All references in this procedure to the masculine shall also include the feminine.
The operation of this procedure will be periodically reviewed by the University in consultation with the University and College Union (UCU). Any amendment will be advised to the staff identified in paragraph 4 who will also be informed of the date when the amendment will come into effect.
This procedure shall cover all Academic Staff including staff on Academic Related Scales, with the exception of staff at the expiry or non-renewal of a fixed term contract.
Minor faults will be dealt with informally by the Head of Department or such other person deputed by him for this purpose.
Where the matter is more serious but falls short of constituting possible good cause for dismissal, the following procedure should be used:

Stage 1 - Oral Warning

7.: If, following a prompt and adequate investigation by the Head of Department, conduct and performance is shown not to have met acceptable standards, the member of the Academic Staff will be given a formal oral warning by the Head of Department. As part of the investigation the member of the Academic Staff will be interviewed and may be accompanied at the interview by a person of his choosing, normally a union representative or a colleague. 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 by the Head of Department, and copies sent to the Director of Human Resources and, in the case of an UCU member, the UCU Branch Secretary. The oral warning will be spent after 12 months, subject to satisfactory conduct and performance and the member of Academic Staff notified in writing by the Head of Department that it has been removed from the records.

Stage 2 - Written Warning

8.: If the offence is a serious one, or if a further offence occurs, a written warning will be given to the member of the Academic Staff by the Head of Department. This will give details of the complaint, the improvement required and the timescale. It will warn that a complaint may be made to the Registrar and Secretary seeking the institution of charges to be heard by a Tribunal appointed under paragraph 13 if there is no satisfactory improvement and will advise of the right of appeal under this paragraph. Where a written warning is issued, arrangements will be made for the monitoring of the individual's progress during the period specified. Consideration will be given to any personal development or training needs that may be necessary to assist the member of staff in achieving the required improvement within the period specified. A copy of this written warning will be kept by the Head of Department. Copies will be sent to the Director of Human Resources and, in the case of a UCU member, the UCU Branch Secretary. The member of the Academic Staff will be asked to acknowledge in writing the receipt of the written warning. The written warning will be disregarded for disciplinary purposes after 2 years subject to satisfactory conduct and performance, and the member of Academic Staff notified in writing by the Head of Department that it has been removed from the records.

Stage 3 - Appeals

9.

A member of the Academic Staff who wishes to appeal against a disciplinary warning shall inform the Registrar and Secretary in writing within two weeks of the issuing of the warning by the Head of Department, giving written notice of the ground for appeal. All such appeals will be heard by a Pro Vice-Chancellor whose decision shall be final. The Pro Vice-Chancellor will arrange an appeal hearing within fourteen days at which he will consider the representations made by the member of Academic Staff or a person of his choosing, normally a union representative or a colleague, and the information provided by the Head of Department who conducted the investigation and issued the warning. The Pro Vice-Chancellor will then decide whether to uphold the warning or allow the appeal. If the appeal is allowed, the record of the warning will be removed from the record of the member of Academic Staff.

10.

If, for good cause, the member of Academic Staff is unable to attend the appeal hearing on the date specified, it will be adjourned to a date of which the member of Academic Staff and his representative (if any) will be informed in writing without delay. If, in the judgement of the Pro Vice-Chancellor, the member of Academic Staff declines to attend the appeal hearing without good cause, he shall be empowered to dismiss the appeal for lack of prosecution or to consider and decide the matter on the available evidence in the absence of the member of Academic Staff.

11.

Preliminary examination of serious disciplinary matters

11.1

If there has been no satisfactory improvement following a written warning given under Stage 2 of the procedure in paragraph 8, 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 13 may be made by the Head of Department to the Registrar and Secretary who shall bring it to the attention of the Vice-Chancellor.

11.2

To enable the Vice-Chancellor to deal fairly with any complaint brought to his attention under paragraph 11.1 he shall institute an adequate preliminary investigation to determine whether or not further action is required. The Vice-Chancellor may depute another person to carry out this preliminary investigation on his behalf. As part of the investigation the member of Academic Staff will be interviewed. He will be told that the interview is part of a preliminary investigation to determine whether or not further action is required, which may include referring the matter for consideration by a Tribunal appointed by the Council. The member of Academic Staff may be accompanied at the preliminary interview by a person of his choosing, normally a Union representative or a colleague.

11.3

If, following a preliminary investigation, it appears to the Vice-Chancellor that a complaint brought to his attention under paragraph 11.1 relates to conduct or performance which does not meet acceptable standards but for which no written warning has been given under paragraph 8 or which relates to a particular alleged infringement of rules, regulations or bylaws for which a standard penalty is normally imposed in the University or within the Faculty, Department or other relevant area, or is trivial or invalid he may dismiss it summarily and decide not to proceed further under this Part.

11.4

If the Vice-Chancellor does not dispose of a complaint under paragraph 11.3 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 of Academic Staff on full pay pending a final decision.

11.5

Where the Vice-Chancellor proceeds further under this Part he shall write to the member of the Academic Staff concerned inviting comment in writing.

11.6

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

.1: dismiss it himself; or
.2: refer it for consideration under paragraphs 5 to 10; or
.3: deal with it informally himself if it appears to the Vice-Chancellor appropriate to do so and if the member of the Academic Staff agrees in writing that the matter should be dealt with in that way; or
.4: direct the Registrar and Secretary to prefer a charge or charges to be considered by a Tribunal to be appointed under paragraph 13.

11.7

If no comment is received in writing within 28 days the Vice-Chancellor may proceed as aforesaid as if the member of Academic Staff concerned had denied the substance and validity of the alleged case in its entirety.

12.

Institution of Charges

12.1

In any case where the Vice-Chancellor has directed that a charge or charges be preferred under paragraph 11.6.4, he shall request the Council to appoint a Tribunal under paragraph 13 to hear the charge or charges and to determine whether the conduct or performance of the member of the Academic Staff concerned constitutes good cause for dismissal or otherwise constitutes a serious complaint relating to the member's appointment or employment.

12.2

Where the Council has been requested to appoint a Tribunal under paragraph 13 the Registrar and Secretary or, if he is unable to act, another officer appointed by the Vice-Chancellor, shall take charge of the proceedings.

12.3

The officer in charge of the proceedings shall formulate, or arrange for the formulation of, the charge or charges and shall present, or arrange for the presentation of, the charge or charges before the Tribunal.

12.4

It shall be the duty of the officer in charge of the proceedings

.1: to forward the charge or charges to the Tribunal and to the member of the Academic Staff concerned together with the other documents therein specified; and
.2: to make any necessary administrative arrangements for the summoning of witnesses, the production of documents and generally for the proper presentation of the case before the Tribunal.

13.

The Tribunal

13.1

A Tribunal appointed by the Council shall comprise:

a Chairman; and
a member of the Council, not being a person employed by the University; and
one member of the Academic Staff nominated by the Senate.

13.2

The Chairman shall be a person not employed by the University holding, or having held, judicial office or being a barrister or solicitor of at least ten years' standing.

13.3

The other members of the Tribunal shall not be members of the same Department as the member of Academic Staff against whom the charge(s) is or are to be brought, and shall have had no prior involvement in the matter.

13.4

In the absence of a meeting of the Council and/or the Senate within 28 days of the institution of a charge or charges referred for consideration by a Tribunal appointed by the Council, the Chairman of Council, acting on behalf of the Council, shall be empowered to make the necessary appointments to the Tribunal.

14.

Provisions concerning Tribunal Procedures

14.1: The member of the Academic Staff will be given a minimum of fourteen days advance notice of the hearing, told the purpose of it, with the nature of the alleged misconduct being outlined and invited to attend. The member of the Academic Staff may be accompanied at the hearing by one or two persons of his choice, one of whom will act as his representative and may be legally qualified.
14.2: If, for good cause, the member of Academic Staff is unable to attend the hearing on the date specified, it will be adjourned to a date of which the member of Academic Staff and his representative (if any) will be informed in writing without delay. If, in the judgement of the Chairman of the Tribunal, the member of Academic Staff declines to attend the hearing without good cause, he shall be empowered to consider and decide the matter on the available evidence in the absence of the member of Academic Staff.
14.3: The member of the Academic Staff and any person representing the staff member may call witnesses and may question witnesses upon the evidence on which the case against him is based.
14.4: The Registrar and Secretary (or other officer appointed by the Vice-Chancellor) to take charge of the proceedings) may call witnesses and may question witnesses called by the member of Academic Staff and any person representing the staff member.
14.5: If possible, seven days prior notice will normally be given where it is intended that witnesses be called by the Registrar and Secretary (or any other officer appointed the Vice-Chancellor to take charge of the proceedings), or by the member of Academic Staff and any person representing the staff member.
14.6: Both the Officer in charge of the proceedings and the member of Academic Staff concerned shall have access to any documents submitted in evidence to the Tribunal. If possible, documents to be submitted in evidence will normally be disclosed at least seven days before the hearing. This does not preclude documents being introduced at the hearing with the consent of the Chairman.
14.7: The Officer in charge of the proceedings will be asked to present the supporting facts and material for consideration by the Tribunal. The member of Academic Staff, or his representative, will be entitled to question the person presenting the supporting facts and material.
14.8: The member of Academic Staff, or his representative, shall be entitled to give any explanation he wishes.
14.9: The Chairman and other members of the Tribunal may ask questions of the member of Academic Staff and the Officer in charge of the proceedings to assist them in their consideration of the charge or charges that they have been asked to investigate.
14.10: The Chairman and other members of the Tribunal may ask questions of witnesses called by the Registrar and Secretary (or other officer appointed by the Vice-Chancellor to take charge of the proceedings) or by the member of Academic Staff and any person representing the staff member.
14.11: The Chairman of the Tribunal may adjourn the proceedings at any stage if this appears necessary or desirable. If adjourning for the purpose of enabling further information to be obtained, he will specify the nature of that information. Any adjournment will normally be for a stated period and consistent with the Tribunal reaching a decision on the charge or charges under investigation within a normal time limit of 28 days from its first meeting.
14.12: The Chairman of the Tribunal may dismiss the charge or charges should he decide there is insufficient evidence on which to proceed or remit the charge or charges to the Vice-Chancellor for further consideration and take appropriate action to correct any accidental errors that may occur.
14.13: The Tribunal, having considered the evidence presented to it, will come to a decision regarding the charge(s) referred to it and its recommendations, if any, as to the appropriate penalty, as soon as possible. The standard of proof required being based on the balance of probabilities.

15.

Notification of Tribunal Decisions

15.1: The Tribunal shall send 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 Vice-Chancellor and to each party to the proceedings.
15.2: The Tribunal shall draw attention to the period of time within which any appeal should be made in writing by ensuring that a copy of the procedure for the hearing and determining of appeals accompanies each copy of its decision sent to a party to the proceedings under this paragraph.

16.

Powers of the Vice-Chancellor where charges are upheld by the Tribunal

16.1

Where the charge of charges are upheld and the Tribunal finds good cause and recommends dismissal or removal from office, but in no other case, the Vice-Chancellor shall decide whether or not to dismiss the member of Academic Staff concerned.

16.2

In any case where the charge or charges are upheld, other than where the Vice-Chancellor has decided under paragraph 16.1 to dismiss the member of the Academic Staff concerned, the action available to the Vice-Chancellor (not comprising a greater penalty than that recommended by the Tribunal) may be -

.1: to discuss the issue raised with the member concerned; or
.2: to advise the member concerned about his future conduct; or
.3: to warn the member concerned; or
.4: to suspend the member concerned with or without pay for such period as the Vice-Chancellor shall think fair and reasonable, not to exceed three months after the Tribunal's decision. This penalty may be imposed as an alternative to dismissal with the consent of the member of Academic Staff, such period not being construed as a break in employment; or
.5: any combination of any 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.

16.3

Where the Vice-Chancellor has decided under paragraph 16.1 to dismiss a member of the Academic Staff who holds status or title in the University, he shall inform the Senior Vice-Chancellor of the University so that, subject to the outcome of any appeal made by the member of the Academic Staff under the procedure for hearing and determining appeals, the University may withdraw from the member concerned his status or title in the University.

17.

Appropriate Officer

17.1: The Vice-Chancellor in paragraph 16 is acting as the appropriate officer as defined by Statute. The powers exercised by the Vice-Chancellor in acting as appropriate officer can be referred to a delegate of the Vice-Chancellorwhen acting in this capacity on his behalf.
17.2: Any action taken by the Vice-Chancellor or his delegate as the appropriate officer shall be confirmed in writing.

PRODECURE FOR THE HEARING AND DETERMINING OF APPEALS ARISING OUT OF THE OPERATION OF THE DISCIPLINARY AND DISMISSALS PROCEDURE

This procedure applies to appeals arising in any proceedings or out of any decision reached, under the Disciplinary and Dismissals Procedure other than appeals under paragraph 9 (Appeals against disciplinary warnings).
No appeal shall lie against the findings of fact of a Tribunal under paragraph 15.1 of the Disciplinary and Dismissals Procedure save where, with the consent of the person or persons hearing the appeal, fresh evidence is called on behalf of the appellant at that hearing. It is recognised that a decision as to what constitutes fresh evidence can only be taken following the appointment of a person to hear the appeal by the Council under paragraph 7 below.
In this procedure references to “the person appointed” are references to the person appointed by the Council under paragraph 7 below to hear and determine the relevant appeal.
The parties to an appeal shall be the appellant, and the Registrar and Secretary and any other person added as a party at the direction of the person appointed.
Institution of Appeals

5.1

A member of the Academic Staff shall institute an appeal by serving on the Registrar and Secretary, within the time allowed under paragraph 6, notice in writing setting out the grounds of the appeal.
Time for Appealing and Notices of Appeal

6.1

A notice of appeal shall be served within 28 days of the date on which the document recording the decision appealed from was sent to the appellant or such longer period, if any, as the person appointed may determine under paragraph 6.3

6.2

The Registrar and Secretary shall bring any notice of appeal received (and the date when it was served), to the attention of the Council and shall inform the appellant that he has done so. In the absence of a meeting of the Council within 28 days of the receipt by the Registrar and Secretary of any notice of appeal, the members of Council shall be informed of the matter by letter from the Registrar and Secretary and the appellant informed accordingly.

6.3

Where the notice of appeal was served on the Registrar and Secretary outside the 28 day period the person appointed under paragraph 7 shall not permit the appeal to proceed unless he considers that justice and fairness so require in the circumstances of the case.
Persons appointed to hear and determine Appeals

7.1

Where an appeal is instituted under this procedure, the Council shall appoint a person described in paragraph 7.2 to' hear and determine that appeal. In the absence of a meeting of the Council within 28 days of the receipt by the Registrar and Secretary of the notice of appeal, the Chairman of Council, acting on behalf of the Council, shall be empowered to appoint a person to hear and determine the appeal.

7.2

The persons described in this paragraph are persons not employed by the institution holding, or having held, judicial office or being barristers or solicitors of at least ten years' standing.

7.3

The person appointed shall sit alone unless he considers that justice and fairness will best be served by sitting with two other persons.

7.4

The other persons who may sit with the person appointed shall be -

.1

a member of the Council not being a person employed by the institution; and

.2

one member of the Academic Staff nominated by the Senate.

7.5

The person appointed, or any other person who may sit with the person appointed, shall have no prior connection with the case and shall not have served as a member of the Tribunal first appointed to consider the matter.
Provisions concerning appeal procedures

8.1

The appellant shall be given a minimum of fourteen days notice of the appeal hearing and be invited to attend. The appellant may be accompanied at the hearing by one or two persons of his choice, one of whom will act as his representative and may be legally qualified.

8.2

If, for good cause, the member of Academic Staff is unable to attend the appeal hearing on the date specified, it will be adjourned to a date of which the member of Academic Staff and his representative (if any), will be informed in writing without delay. If, in the judgement of the person appointed, the member of Academic Staff declines to attend the appeal hearing without good cause, he shall be empowered to dismiss the appeal for lack of prosecution or to consider and decide the matter on the available evidence in the absence of the member of Academic Staff.

8.3

The person appointed will have available to him the written Tribunal decision on the charge(s) referred to it together with its findings of fact, the reasons for its decision regarding the charge(s) and its recommendations, if any, as the appropriate penalty.

8.4

At the appeal the Vice-Chancellor will give an account of how and why he responded to the initial decision and recommendation of the Tribunal.

8.5

The appellant or his representative will be entitled to ask any questions and to make a submission on the appellant's behalf.

8.6

The appeal will not normally be by way of a rehearing unless the Vice-Chancellor and Principal or the appellant, or his representative, has additional material to introduce which was not available at the time of the Tribunal hearing (which may involve the calling of additional witnesses with the consent of the person or persons hearing the appeal).

8.7

Notwithstanding the terms of paragraph 8.6, if, in the judgement of the person appointed, the interests of justice and fairness would be best served by a rehearing of the evidence presented at the original Tribunal, this would be possible and a procedure based on paragraphs 14.3 to 14.10 of the Disciplinary and Dismissals Procedure would be adopted at the appeal hearing for this purpose.

8.8

The person appointed may adjourn the proceedings at any stage if this appears necessary or desirable. If adjourning for the purpose of enabling further information to be obtained, he will specify the nature of that information. Any adjournment will normally be for a stated period consistent with the appeal being determined within a normal time limit of 28 days from the first hearing.

8.9

The person appointed may dismiss the appeal for want of prosecution and take appropriate action to correct any accidental errors that may occur.

8.10

Having considered the evidence presented, the person or persons hearing the appeal may allow or dismiss an appeal in whole or in part and, without prejudice to the foregoing, may -

.1

remit an appeal from a decision under the Disciplinary and Dismissals Procedure for rehearing by a differently constituted Tribunal to be appointed under the terms of paragraph 13 of the procedure; or

.2

substitute any lesser alternative penalty that would have been open to the appropriate officer following the finding by the Tribunal which heard and pronounced upon the original charge or charges.

8.11

The person appointed shall determine his own reasonable fee which will normally be paid by the University but may be awarded against the member of Academic Staff where the person appointed considers that the appeal should not have been brought.
Notification of decisions

9.1

The person appointed shall send the reasoned decision, including any decision reached in exercise of his powers under paragraph 8.10.1 or .2, on any appeal together with any findings of fact different from those come to by the Tribunal appointed under the terms of the Disciplinary and Dismissals Procedure, to the Vice-Chancellor and to the parties to the appeal and to the Senior Vice-Chancellor of the University in the case of an appeal by a member of the Academic Staff who holds status or title in the University.

9.2

The decision of the person appointed is binding on all parties to the appeal and cannot be the subject of further internal appeal within the University.