ACPE
Appendix 2.9
Discipline and Grievances
Criterion # 2
P rofessional, Ethical and
Harmonious Environment
1 | P a g e Scope
The policy applies to faculty members when addressing the following:
1. Employee Discipline 2. Discipline Appeals 3. Employee Grievances Purpose
UoS believes in ensuring the highest standards of conduct by all Faculty members. This policy aims at administering equitable and consistent measures to address unsatisfactory conduct in the workplace, and applying fair and impartial standards to regulate employee behavior.
Grievances management outlines the framework adopted by UoS to address formal work related complaints submitted to the Human Resources Department.
Policy
1) General Principles
1. Disciplinary actions will be administered in a manner intended to be corrective and not punitive, prevent recurrence and enable satisfactory behaviour in the future.
2. Disciplinary actions will include a clarification of expectations; followed by granting the employee opportunities to demonstrate improvement.
3. Disciplinary actions will be progressive, to allow for corrective actions to be taken at an early stage, benefiting both the employee and UoS.
4. Disciplinary actions will be taken based on a comprehensive fact-finding process.
Actions taken will depend on the nature of the violation, the circumstances surrounding the violation, and the employee's previous record.
5. UoS reserves the right to take any disciplinary action as it deems appropriate and as determined by the disciplinary authority.
2) Disciplinary Investigation
1. The Chancellor may issue a direct warning to a faculty member in cases he believes do not require an investigation.
2. No other disciplinary actions will be carried out without conducting an investigation or without reference to the Disciplinary Council.
2 | P a g e 3. The Chancellor shall appoint, upon his own initiative, or based upon the request of the
College Dean, a faculty member to investigate the faculty member accused of certain offenses.
4. The faculty member conducting the investigation shall be of an academic rank at least equivalent to that of the faculty member to be investigated. The results of the investigation shall be submitted in a detailed report to the Chancellor, who may decide as he deems appropriate to close the investigation, impose any of the penalties within his authority, or refer the case (together with the investigation papers and report) to the competent Disciplinary Council. All proceedings in this regard shall be kept strictly confidential and be carried out in accordance with the proper legal procedures.
5. The Chancellor, or whomever he authorizes, shall send the faculty member under investigation a detailed statement regarding the charges against them (together with a copy of the investigator’s report) at least (15) days prior to the disciplinary hearing.
6. The faculty member whose case has been referred to the Disciplinary Council shall be briefed on the investigation and may request a lawyer or another faculty member to present them before the Disciplinary Council.
3) Disciplinary Actions
1. A faculty member who is deemed to be in breach of any of the UoS’s standards, regulations or Code of Conduct shall be subject to disciplinary actions. These disciplinary actions may include:
a) Verbal warning b) Written warning
c) Written warning with a one-year suspension of the annual increment, or reprimand with a one-year suspension of promotion to a higher rank
d) Written warning with a suspension of salary payment (no more than a quarter of the monthly salary) for a period not to exceed six months
e) Termination of contract with the full rights to salaries and entitlements
f) Termination of contract with the partial or total withholding of salaries and entitlements
4) Authorized Imposing Authorities
1. A Disciplinary Council shall be formed by decision of the Chancellor and shall be chaired by the Vice Chancellor. The Chancellor may appoint someone else in place of the Vice Chancellor if the latter is absent or if there is a legal or other compelling reason to do so.
3 | P a g e Its membership shall consist of the College Dean to which the investigated faculty member belongs, and a faculty member selected by the Chancellor.
2. Council meetings shall be considered a quorum in the attendance of two thirds of the Committee members. Recommendations shall be issued by the majority vote of those present. When the votes are equal, the vote of the Council’s chairperson shall carry the motion
3. The below table identifies the personnel / parties authorized to impose disciplinary actions
Authorized Imposing Parties Disciplinary Actions College Dean / Chancellor /
Disciplinary Council a) Verbal Warning Chancellor / Disciplinary
Council b) Written Warning Chancellor / Disciplinary
Council c) Written warning with a one-year suspension of the annual increment, or reprimand with a one- year suspension of promotion to a higher rank Chancellor / Disciplinary
Council d) Written warning with a suspension of salary payment (no more than a quarter of the monthly salary) for a period not to exceed six months Disciplinary Council e) Termination of contract with the full rights to
salaries and entitlements
Disciplinary Council f) Termination of contract with the partial or total withholding of salaries and entitlements
5) Disciplinary Actions Determination
1. When determining a disciplinary action, the issuing authority shall observe the proportionality between the punishment and the violation committed. Two penalties may not be imposed for the same violation.
2. Disciplinary Council decisions shall be issued inclusive of the reasons and grounds upon which the decision was based, derived from the investigation statements and the provisions of this policy, and declared in a council session set for that purpose.
3. The faculty member shall be notified in writing of the decision and the reasons within (10) days of the date of issue.
4 | P a g e 6) Employment during A Disciplinary Process
1. As a precautionary measure, the Chancellor may suspend the faculty member being investigated from carrying on their duties for a maximum of (3) months if he believes that such is in the best interest of the investigation. The period of suspension may not be extended unless a decision is issued by the Disciplinary Council.
2. Unless the Disciplinary Council provides otherwise, suspension from duty entails suspension of salaries as of the date on which the decision is taken to suspend the faculty member.
3. If the case under investigation is not referred to the Disciplinary Council within (1) month after the decision to suspend the faculty member has been issued, the suspension shall be considered rescinded and the suspended salary shall be paid.
4. The resignation of the faculty member shall not be accepted while the investigation is pending nor shall the disciplinary proceedings against them be discontinued.
5. The disciplinary actions taken against a faculty member shall have no bearing on any criminal or civil proceedings connected with the same event that led to them.
7) Promotion during A Disciplinary Process
1. Faculty member suspended from work for investigative purposes or pending detention and subject to disciplinary proceedings shall maintain their right to promotion and a response regarding such by the said promotion date, if during the period of suspension or proceedings they are acquitted or receive a penalty of no more than a five-day salary deduction. If a stricter penalty is imposed, the faculty member shall be denied the promotion for a period of one year from the designated promotion date.
2. The promotion of a faculty member shall not be permitted if the faculty member is charged with a felony or crime related to a breach of public trust or integrity. The faculty member shall retain their right to promotion if the promotion date occurs during the time of the trial and the faculty member is acquitted, and the promotion shall be considered effective as of the said promotion date.
8) Dropping / Withdrawal of Disciplinary Actions
1. Disciplinary actions shall be dropped if (3) years have lapsed since the said violation.
Disciplinary proceedings shall also be dropped in the event of the faculty member’s demise or the lapse of (3) years since the end of their services at the UoS.
2. Disciplinary actions imposed on employees shall be withdrawn with the lapse of the following periods:
5 | P a g e a) (6) months in the case of cautionary notices, warnings or the salary deduction of
no more than (5) days
b) (1) year in the case of a salary deduction of more than (5) days c) (2) years in the case of withholding the annual increment
3. Disciplinary actions may be revoked by decision of the Chancellor if the reports submitted regarding the faculty member’s conduct and performance – since the date the disciplinary action was imposed - are considered satisfactory. The cancellation of a disciplinary action shall revoke it for future considerations, and the faculty member shall be entitled to all due rights and compensations.
4. Any documents relating to the disciplinary action shall be removed from the faculty member’s personal file with no need for a request from the faculty member.
9) Appeal Process
While UoS will take every measure to ensure that a comprehensive investigation is conducted, and that all disciplinary actions are determined based on the input of multiple parties and the review of the submitted reports and statement of facts, employees who receive a disciplinary action may appeal as per the below guidelines.
1. A faculty member who receives a disciplinary action in the form of a warning issued by the College Dean, may appeal to the Chancellor.
2. The appeal must be submitted in writing within seven (7) days of being notified of the warning.
3. Decisions by the Disciplinary Council shall be final. However, appeals may be directed to the President in writing within (14) days of notifying the faculty member of the disciplinary action.
4. The President’s decision on the matter shall be considered final and not subject to appeal elsewhere.
10) Grievances Process
1. Grievances are formal work related complaints raised to the attention of the Human Resources Department. Employees are encouraged to first approach their line manager – when possible – to raise work related issues with the objective of resolving them informally. If a satisfactory solution is not reached, the employee may initiate a formal grievance procedure.
2. The below is an indicative list of valid grievances (refer to Inclusiveness under the Employee Code of Conduct):
6 | P a g e a) Verbal abuse by the line manager or other employees (humiliation, belittling,
shouting, rudeness)
b) Physical abuse / inappropriate physical contact
c) Verbal or written harassment in the form of inappropriate jokes/unwelcome comments
d) Spreading rumors / gossip
e) False or unfairly prejudicial treatment The below is an indicative list of invalid grievances
a) Complaints against a particular work assignment
b) Complaints against a transfer which addresses work needs c) Non-selection for promotion, secondment, deputation d) Position grade / title
e) Awarded salaries and benefits as per the Employment Contract f) Work policies and procedures
g) Working hours h) Office space
3. UoS believes that regular and forthright communication between employees and line managers reduces the likelihood of the need for a formal grievance, which is in the mutual best interest of both UoS and employees.
4. Line managers are encouraged to promote open communication with their teams and invite informal employee feedback.
5. Line managers should - within their best authority - try to handle employee grievances and bring them to an amicable settlement.
6. The formal grievance process shall include the following:
a) A submission of a formal written grievance to the Employee Engagement Section in the Human Resources Department
b) A hearing managed by Employee Engagement which includes all the concerned parties
c) A review of the grievance resolution /appeal
7. The use of the Employee Grievance policy will not in any way reflect unfavorably upon the character or employment status of any employee. The Employee Grievance policy is not intended nor will it be construed as restricting, limiting or otherwise affecting the rights of an employee.
7 | P a g e 1.1 Grievance Submission
1. Grievances should be submitted to the Employee Engagement Section in the Human Resources Department in writing and should clearly outline the following. Any grievance which does not include the below may be rejected:
a) Description of the concern
b) Facts (dates, concerned individuals)
c) Reference to relevant policies, employment contract d) Supporting documents (copies of emails, communication) e) Suggested corrective measure / request
f) A signed statement by the employee to initiate a formal grievance procedure 2. The grievance procedure will be handled with the utmost confidentiality. Employees are
urged not to share the grievance details with other employees.
1.2 Grievance Hearing
1. The employee raising the grievance (and the employee whom the grievance may be directed to) should be notified of the hearing date within (7) days of receiving the formal written grievance.
2. The hearing session will be managed by Employee Engagement. Attendees of the hearing session will be selected based on the subject of the grievance and the involved parties.
3. The grievance hearing may be adjourned at the hearing manager’s discretion, if further information is required.
4. The hearing manager is responsible for concluding the hearing and considering the evidence before deciding on and issuing a resolution.
5. Employees shall cooperate at all stages in the grievance hearing. This cooperation shall include, but not be limited to, appearing to answer questions and presenting truthful information.
6. Failure to appear to give information as well as failure to present truthful information may result in a disciplinary action.
7. All attempts should be made to settle the grievance at this stage. After considering all the relevant information, the hearing manager will agree on a common decision and shall render a written decision to provide the outcome of the grievance resolution within (7) days.
8. The employee who raised the grievance and the employee against whom the grievance was raised should be notified of the outcome in writing and in person where possible.
8 | P a g e 1.3 Resolution Review /Appeal
1. All parties involved in the grievance – if unsatisfied with the grievance resolution - may submit an appeal to Employee Engagement within (7) days of receiving the resolution.
2. Employee Engagement will arrange for an appeal hearing to address the grievance.
Attendees of the appeal hearing session should not be the same attendees of the grievance hearing.
3. The appeal hearing manager is responsible for concluding the appeal hearing and issuing a final decision.
4. The decision will be deemed final and binding and will have no further appeals.
1 | P a g e Scope
The policy applies to Professional Staff when addressing the following:
1. Employee Discipline 2. Discipline Appeals 3. Employee Grievances Purpose
UoS believes in ensuring the highest standards of conduct by all Professional Staff. This policy aims at administering equitable and consistent measures to address unsatisfactory conduct in the workplace, and applying fair and impartial standards to regulate employee behavior.
Grievances management outlines the framework adopted by UoS to address formal work related complaints submitted to the Human Resources Department.
Policy
1) General Principles
1. Disciplinary actions will be administered in a manner intended to be corrective and not punitive, prevent recurrence and enable satisfactory behaviour in the future.
2. Disciplinary actions will include a clarification of expectations; followed by granting the employee opportunities to demonstrate improvement.
3. Disciplinary actions will be progressive, to allow for corrective actions to be taken at an early stage, benefiting both the employee and UoS.
4. Disciplinary actions will be taken based on a comprehensive fact-finding process.
Actions taken will depend on the nature of the violation, the circumstances surrounding the violation, and the employee's previous record.
5. UoS reserves the right to take any disciplinary action as it deems appropriate and as determined by the disciplinary authority.
2) Disciplinary Investigation
1. An Investigative Committee shall be formed by decision of the Chancellor at his discretion or based upon a request by the concerned department director to whom the professional staff reports
2. The Investigation Committee may call upon whomever it views appropriate to complete procedures regarding the violation attributed to the professional staff.
2 | P a g e 3. The Investigation Committee shall file a report containing its recommendations to the
Chancellor, who may apply a penalty – as detailed below, or refer the professional staff’s case to the Disciplinary Committee.
4. The decision to refer a professional staff to the Disciplinary Committee shall be issued by the Chancellor based upon the recommendation of the Investigation Committee and shall include a statement of facts regarding the professional staff and the accusations leveraged against them.
5. The professional staff shall be informed of the referral decision and date of the Disciplinary Committee session in writing. The professional staff may defend themselves and be heard before the Investigation Committee and the Disciplinary Committee.
3) Disciplinary Actions
1. A professional staff who is deemed to be in breach of any of the UoS’s standards, regulations or Code of Conduct shall be subject to disciplinary actions. These disciplinary actions may include:
a) Warning
b) Written notice of caution
c) Deduction of no more than one quarter of the employee’s salary for a maximum of (2) months per annum
d) Withholding the annual increment
e) Suspension from work at half of the employee’s salary for a period of not more than (3) months, or lowering the salary within the job grade limits, or demoting the employee to one job grade lower or both
f) Unpaid suspension from work for a period of not more than (3) months g) Termination of service with the right to receive one’s salary or bonuses, or
withholding at most one quarter of the amount of either one or the other 2. Disciplinary actions are determined by job grade. The below table outlines the
disciplinary actions by grade:
Grade Job Disciplinary Actions
1 and 2 a) Warning
b) Written notice of caution
c) Unpaid suspension from work for a period of not more than (3) months d) Termination of service with the right to receive one’s salary or bonuses, or withholding at most one quarter of the amount of either one or the other
3 | P a g e 1 to 12 a) Warning
b) Written notice of caution
c) Deduction of no more than one quarter of the employee’s salary for a maximum of (2) months per annum
d) Withholding the annual increment
e) Suspension from work at half of the employee’s salary for a period of not more than three months, or lowering the salary within the job grade limits, or demoting the employee to one job grade lower or both
f) Termination of service with the right to receive one’s salary or bonuses, or withholding at most one quarter of the amount of either one or the other
4) Authorized Imposing Authorities
1. A Disciplinary Committee shall be formed by decision of the Chancellor and shall be chaired by the Vice Chancellor. Its membership shall consist of two faculty members (one from the College of Law) and two department directors.
2. Committee meetings shall be considered a quorum in the attendance of two thirds of the Committee members. Recommendations shall be issued by the majority vote of those present. When the votes are equal, the vote of the Committee chairperson shall carry the motion.
3. The below table identifies the personnel / parties authorized to impose disciplinary actions
Job Grade Authorized Imposing
Parties Disciplinary Actions
1 and 2 Vice Chancellor a) Warning
b) Written notice of caution
c) Unpaid suspension from work for a period of not more than (3) months
Disciplinary Committee a) Termination of service with the right to receive one salary or bonuses or withholding at most one quarter of the amount of either one or the other
4 | P a g e 3 to 12 Vice Chancellor/
Disciplinary Committee
a) Warning
b) Written notice of caution
c) Deduction of no more than one quarter of the employee’s salary for a maximum of (2) months per annum
d) Withholding the annual increment
e) Suspension from work at half of the employee’s salary for a period of not more than (3)
months, or lowering the salary within the job grade limits, or demoting the employee to one job grade lower or both
Department
Director/ Disciplinary Committee
a) Warning
b) Written notice of caution
c) Withholding the annual increment Disciplinary
Committee a) Termination of service with the right to receive one’s salary or bonuses or withholding at most one quarter of the amount of either one or the other
5) Disciplinary Actions Determination
1. When determining a disciplinary action, the Disciplinary Committee shall observe the proportionality between the punishment and the violation committed. Two penalties may not be imposed for the same violation.
2. Disciplinary Committee decisions shall be issued inclusive of the reasons and grounds upon which the decision was based, derived from the investigation statements and the provisions of this policy, and declared in a Committee session set for that purpose.
3. The professional staff shall be notified in writing of the decision and the reasons within (10) days of the date of issue.
6) Employment during A Disciplinary Process
1. The concerned professional staff may be suspended as a precautionary action if the welfare of the investigation so requires. The suspension shall be for no more than three months and may be extended only by a decision from the Disciplinary Committee.
2. The suspension of the professional staff shall result in the withholding of half of their basic salary, starting from the date of suspension.
3. If the professional staff is acquitted, issued a penalty of a warning or notice or the case is closed, the deducted salary shall be paid. If the professional staff receives a stronger
5 | P a g e penalty, the imposing authority shall decide what will follow with respect to the withheld salary.
4. A professional staff pending detention shall be suspended from work by decision of the Chancellor, and half of their basic salary shall be withheld, provided the professional staff returns to work. The professional staff shall be paid the deducted salary after detention period ends if the investigation finds them innocent of the charge. Otherwise, the salary shall be withheld from the professional staff.
5. A professional staff who is detained or imprisoned by a court order for a felony or crime related to a breach of public trust, shall be suspended from work by decision of the Chancellor. The salary of the professional staff shall be withheld throughout their detention/imprisonment, and their services shall be terminated if the period of detention exceeds three (3) months, starting from the date of detention.
6. In cases other than those exempted by a decision of the President, upon the recommendation of the Chancellor, a professional staff’s resignation shall not avert their disciplinary proceedings, and the professional staff’s resignation shall not be approved if they have been referred to the Disciplinary Committee.
7) Promotion during A Disciplinary Process
1. professional staff suspended from work for investigative purposes or pending detention and subject to disciplinary proceedings shall maintain their right to promotion and a response regarding such by the said promotion date, if during the period of suspension or proceedings they are acquitted or receive a penalty of no more than a (5) day salary deduction. If a stricter penalty is imposed, the professional staff shall be denied the promotion for a period of (1) year from the designated promotion date.
2. The promotion of a professional staff shall not be permitted if the professional staff is charged with a felony or crime related to a breach of public trust or integrity. The professional staff shall retain their right to promotion if the promotion date occurs during the time of the trial and the employee is acquitted, and the promotion shall be considered effective as of the said promotion date.
8) Dropping / Withdrawal of Disciplinary Actions
1. Disciplinary actions shall be dropped if (3) years have lapsed since the said violation.
Disciplinary proceedings shall also be dropped in the event of the professional staff’s demise or the lapse of three years since the end of their services at the UoS.
6 | P a g e 2. Disciplinary actions imposed on professional staff shall be withdrawn with the lapse of
the following periods:
a) Six months in the case of cautionary notices, warnings or the salary deduction of no more than five days
b) One year in the case of a salary deduction of more than five days c) Two years in the case of withholding the annual increment
3. Disciplinary actions may be revoked by decision of the Chancellor if the reports submitted regarding the professional staff’s conduct and performance – since the date the disciplinary action was imposed - are considered satisfactory. The cancellation of a disciplinary action shall revoke it for future considerations, and the professional staff shall be entitled to all due rights and compensations. Any documents relating to the disciplinary action shall be removed from the professional staff’s personal file with no need for a request from the professional staff.
9) Appeal Process
While UoS will take every measure to ensure that a comprehensive investigation is conducted, and that all disciplinary actions are determined based on the input of multiple parties and the review of the submitted reports and statement of facts, employees who receive a disciplinary action may appeal as per the below guidelines.
1. Professional staff in job grades (6) and above may appeal disciplinary decisions issued by the Chancellor to the President or whomever he delegates. Professional staff in job grades below (6) may appeal disciplinary decisions to the Chancellor.
2. The appeal shall be submitted in writing within (10) days from the date the employee is notified of the decision in writing.
3. The appeal shall be considered accepted if no decision is taken within (30) days from the date of submission.
4. An appeal will be considered only, if the employee appeals on valid grounds, being that further evidence not previously considered has been brought to light.
5. Appeal hearings must be held with an independent Appeal Committee whose members were not involved in the disciplinary process investigation /hearing. The Appeal Committee will review all evidences considered at the appeal hearing and may obtain additional information if required.
6. The outcome of the appeal hearing will be communicated to the employee in writing, normally within (7) days.
7. The decision made by the Appeal Committee will be deemed final.
7 | P a g e 10) Grievances Process
1. Grievances are formal work related complaints raised to the attention of the Human Resources Department. Employees are encouraged to first approach their line manager – when possible – to raise work related issues with the objective of resolving them informally. If a satisfactory solution is not reached, the employee may initiate a formal grievance procedure.
2. The below is an indicative list of valid grievances (refer to Inclusiveness under the Employee Code of Conduct):
a) Verbal abuse by the line manager or other employees (humiliation, belittling, shouting, rudeness)
b) Physical abuse / inappropriate physical contact
c) Verbal or written harassment in the form of inappropriate jokes/unwelcome comments
d) Spreading rumors / gossip
e) False or unfairly prejudicial treatment The below is an indicative list of invalid grievances
a) Complaints against a particular work assignment
b) Complaints against a transfer which addresses work needs c) Non-selection for promotion, secondment, deputation d) Position grade / title
e) Awarded salaries and benefits as per the Employment Contract f) Work policies and procedures
g) Working hours h) Office space
3. UoS believes that regular and forthright communication between employees and line managers reduces the likelihood of the need for a formal grievance, which is in the mutual best interest of both UoS and employees.
4. Line managers are encouraged to promote open communication with their teams and invite informal employee feedback.
5. Line managers should - within their best authority - try to handle employee grievances and bring them to an amicable settlement.
6. The formal grievance process shall include the following:
a) A submission of a formal written grievance to the Employee Engagement Section in the Human Resources Department
8 | P a g e b) A hearing managed by Employee Engagement which includes all the concerned
parties
c) A review of the grievance resolution /appeal
7. The use of the Employee Grievance policy will not in any way reflect unfavorably upon the character or employment status of any employee. The Employee Grievance policy is not intended nor will it be construed as restricting, limiting or otherwise affecting the rights of an employee.
1.1 Grievance Submission
1. Grievances should be submitted to the Employee Engagement Section in the Human Resources Department in writing and should clearly outline the following. Any grievance which does not include the below may be rejected:
a) Description of the concern
b) Facts (dates, concerned individuals)
c) Reference to relevant policies, employment contract d) Supporting documents (copies of emails, communication) e) Suggested corrective measure / request
f) A signed statement by the employee to initiate a formal grievance procedure 2. The grievance procedure will be handled with the utmost confidentiality. Employees are
urged not to share the grievance details with other employees.
1.2 Grievance Hearing
1. The employee raising the grievance (and the employee whom the grievance may be directed to) should be notified of the hearing date within (7) days of receiving the formal written grievance.
2. The hearing session will be managed by Employee Engagement. Attendees of the hearing session will be selected based on the subject of the grievance and the involved parties.
3. The grievance hearing may be adjourned at the hearing manager’s discretion, if further information is required.
4. The hearing manager is responsible for concluding the hearing and considering the evidence before deciding on and issuing a resolution.
5. Employees shall cooperate at all stages in the grievance hearing. This cooperation shall include, but not be limited to, appearing to answer questions and presenting truthful information.
9 | P a g e 6. Failure to appear to give information as well as failure to present truthful information
may result in a disciplinary action.
7. All attempts should be made to settle the grievance at this stage. After considering all the relevant information, the hearing manager will agree on a common decision and shall render a written decision to provide the outcome of the grievance resolution within (7) days.
8. The employee who raised the grievance and the employee against whom the grievance was raised should be notified of the outcome in writing and in person where possible.
1.3 Resolution Review /Appeal
1. All parties involved in the grievance – if unsatisfied with the grievance resolution - may submit an appeal to Employee Engagement within (7) days of receiving the resolution.
2. Employee Engagement will arrange for an appeal hearing to address the grievance.
Attendees of the appeal hearing session should not be the same attendees of the grievance hearing.
3. The appeal hearing manager is responsible for concluding the appeal hearing and issuing a final decision.
4. The decision will be deemed final and binding and will have no further appeals.
