University of Strathclyde Calendar 009-10 Part General Regulations

Conclusion of the Hearing

1.16 At the conclusion of its inquiry, the Disciplinary Tribunal shall consider in private what it has read, heard and seen in relation to the charges and to the evidence and shall produce in writing a report ("the Disciplinary Report") containing:

(i) An index of the written papers and other evidence received by the Disciplinary Tribunal in relation to the allegations and a list of the names of those persons who gave oral evidence to the Disciplinary Tribunal.

(ii) The facts which it has found to be proved, which are relevant to the allegations.

(iii) The charges which it has found to be proved because of the findings of fact in (ii).

(iv) A statement as to any mitigating or serious features found to be present.

(v) A penalty for confirmation by the appropriate officer in respect of the charges found to have been proved.
1.17 The Disciplinary Tribunal shall serve a copy of the Disciplinary Report on the member of the academic staff (the officer in charge of the proceedings) and on the Principal.
Penalties

1.18 If the Disciplinary Tribunal find the charge or charges to have been proved against the member of academic staff, it shall have the power to give an absolute remission or to deal with matters in accordance with Statute XXIII Section 17 of the Statutes of the University. If the Tribunal finds no charges proved against the member of the academic staff, or awards an absolute remission, no record of the hearing is to be kept in any file or record relating to the member of the academic staff.

Evidence

1.19 The Disciplinary Tribunal shall cause a substantial note to be taken in writing of (or alternatively, a complete tape recording from which a transcript can be produced)

(a) All evidence and arguments presented to it by the member of the academic staff and any witnesses not previously in written form, and

(b) All procedural or other interim decisions.

Arrangements for the note shall be made in accordance with Statute VIII Section 2.
Notices

1.20 Because it is the responsibility of members of staff to notify the Personnel Office of their current address and any change thereof, where any notice required by these Ordinances is sent to a member of academic staff is sent by registered or first class recorded delivery post to the address of the member of the academic staff as registered with the Personnel Office, it shall be presumed to have been received by the member of the academic staff two days after being sent.

18 Staff Grievances

1. 
   Every grievance brought under Statute XXIII, Part VI shall be the subject of the specific provisions of these Ordinances. The aim of the Grievance Procedure is to settle or redress individual grievances promptly, fairly, and, so far as may be possible within the relevant working area, by methods acceptable to all parties.
   

2. 
   If an individual member of academic staff or group of academic staff has a grievance which they have tried unsuccessfully to resolve informally and the Head of Department is not the subject of the grievance (see paragraph 5), they may raise the matter in writing with their Head of Department, making it clear that they are invoking the Grievance Procedure contained in Statute XXIII, Part VI. The complainant(s) shall copy this correspondence to the Director of Personnel stating in full the nature of the grievance.
   

3. 
   The Head of Department shall respond promptly acknowledging in writing receipt of their grievance and forwarding a copy of the grievance to the person(s) against whom the grievance is raised, normally within 5 working days. The Head of Department shall then arrange and hold, normally within 15 working days of receipt of the grievance, a meeting with those concerned. The Head of Department shall involve at least one other person in the meeting to advise. This other person, depending on the issue, could be a senior academic colleague from the department, the Faculty Officer or a member of staff from the Personnel Office. The member(s) of staff raising the grievance and the person(s) against whom the grievance lies shall be notified in advance who will be attending the meeting. Staff raising the grievance and staff against whom the grievance has been raised, may if they wish be accompanied by one representative or colleague of their choice and shall give the Head of Department not less than two working days’ notice of this, so the appropriate arrangements can be made. Those attending the meeting shall include the Head of Department and his/her adviser, the person(s) raising the grievance and the person(s) against whom the grievance is raised, their representative(s) (if any) and any other person invited by the Head of Department to attend.
   

4. 
   Following the meeting and any adjournments that are agreed, the Head of Department shall provide a written response to the complainant(s) and to the person(s) against whom the grievance is raised, normally within 10 working days, copying this response to the Director of Personnel.
   

5. 
   If staff raising the grievance are dissatisfied with the written response (or if the Head of Department or Dean of the Faculty is the subject of the grievance) they may write to the Principal indicating clearly their wish to pursue the grievance and attaching any relevant correspondence, including that relating to matters discussed under the procedure this far.
   

6. 
   The Principal shall initially acknowledge receipt of the grievance in writing, normally within 3 working days. The Principal shall look first to see whether the subject of the grievance has already been considered and decided upon under Part III, IV or V of Statue XXIII. The Principal may also consider that the grievance is trivial or invalid. In these circumstances, having discussed his or her reasons with the Chair of Staff Committee, if the Principal so decides, he or she may dismiss the grievance summarily through a written reply, which shall be copied to the Grievance Committee.
   

7. 
   The Principal shall also consider whether the subject matter of the grievance could properly be considered with (or form the whole or any part of) matters to be decided under Statute XXIII, Part III, IV or V. If the Principal so decides, he or she shall defer action under Part VI until the relevant consideration has been given or the time for instituting it has passed. If the Principal so decides, he or she shall reply in writing to this effect to those that have raised the grievance with a copy to the Grievance Committee. The persons specified in Statute XXIII, paragraph 35 shall normally be the Vice Principal, the Chair of Staff Committee and the non-professorial member of Staff Committee appointed by Senate.
   

8. 
   If the Principal does not deal with the complaint in the manner set out in paragraph 6 or 7 above, he or she may seek to dispose of it informally, either personally or by appointing another person for this purpose. The Principal’s intention in this regard shall be notified in writing to the person(s) raising the grievance and the person(s) against whom the grievance is raised. The Principal shall communicate as promptly as possible the route he or she intends to pursue and normally within 10 working days of receipt of the grievance.
   

9. 
   If the Principal decides on an informal approach, those raising the grievance shall advise the Principal in writing if they are dissatisfied with the informal approach and request that the matter be dealt with by the Grievance Committee. In these circumstances, or where the Principal decides against an informal approach, the Principal shall write to the Secretary of Staff Committee charging the Secretary to arrange that the matter be referred to the Grievance Committee appointed under terms of Statute XXIII, Part VI. The Secretary of Staff Committee shall arrange, normally within 25 working days, for the Grievance Committee to meet and hear the grievance.
   

10. 
    Where a formal grievance is being brought against the Principal, the powers to be exercised by the Principal under terms of Statute XXIII, Part VI and this Ordinance shall be exercised by the Chairman of Court.
    

11. 
    The member(s) of staff bringing the grievance and any person(s) against whom the grievance lies, shall have the right to appear before the Grievance Committee, the right to be heard by the Grievance Committee and to be accompanied by one representative or colleague of their choice. The Chair of the Grievance Committee shall decide what information the Grievance Committee requires prior to the meeting and who else should be present when it meets. The Chair shall ensure that notice of the meeting and all written material to be relied upon by any of the parties is exchanged between all of the parties who are to be present, at least 10 working days before the meeting. Arrangements for the manner of exercising rights of speaking, asking questions, calling and examining witnesses, keeping records, proceeding in the absence of parties properly notified who have failed to attend the meeting, adjourning, reconvening and terminating proceedings shall be determined by the Grievance Committee, which shall make these arrangements clear to the parties. In exercising this discretion, the Committee shall be guided by the requirement to deal fairly and reasonably with all of the parties to the grievance.
    

12 The Grievance Committee shall decide whether the grievance is or is not well-founded and if it is well-founded, shall make such proposals for the redress of the grievance as it sees fit. The Grievance Committee shall communicate its findings in writing to the parties concerned, normally within 15 working days of the meeting and thereafter shall report to the University Court through its Staff Committee.

Regulations

1 Constitutional Regulations

1.1 Executive Team

Terms of Reference

1.1.1 The Executive Team is responsible for providing recommendations on the overall strategic direction for the University, for considering all major initiatives emerging and the resources required to support them, and for proposing these to Senate and Court as appropriate for final approval.
In particular the Executive Team is responsible for

• 
  developing the overall strategic direction of the University, taking account of the resources at its disposal and the need to ensure sustainability in all aspects of University business, and making proposals on these, as appropriate, to Senate and to Court for final approval;
  
• 
  considering policy proposals on the University budget, on resource allocation priorities, on physical development, on employment and any other University business, for onward transmission and decision at Court;
  
• 
  considering policy proposals on the teaching, research and academic development and on the academic priorities of the University, and on any other matter within the remit of Senate – including, specifically, recommendations on University ceremonials and the award of honorary degrees, and for recommending these to Senate for final approval;
  
• 
  considering all major initiatives emerging from both within and outwith the University and whether or not these should be pursued, taking account of the fit with the overall University strategy, the resources required to support them, their sustainability and the overall priority to be attached to them;
  
• 
  engaging with the Court Business Group in order to consider key proposals emerging within the University before they are forwarded to Court for consideration and approval;
  
• 
  developing and maintaining a Strategic Investment Framework embracing a holistic approach to the development of major initiatives across the University, taking account of the resources required to support these, including staff, funding, information technology and estates, and also, in a similar approach, considering areas of disinvestment and proposing these to Court for approval;
  
• 
  monitoring the implementation of these major strategic developments and regularly reviewing the overall University strategy to ensure that it remains relevant and sustainable.
  

Composition

1.1.2 The Principal ex officio (Convener)

The Vice-Principal ex officio

The Deputy Principals ex officio

The Deans ex officio

The Chief Operating Officer ex officio

The Chief Financial Officer ex officio

1.2 Committees of Court

Remuneration Committee

1.2.1 Terms of reference:

To be responsible for

• 
  confirming the remuneration and conditions of service of the Principal, taking account, where relevant, of the provisions of the Charter and the Statutes (currently under review);
  
• 
  confirming the remuneration and conditions of service of the Secretary to the University/Chief Operating Officer, taking account, where relevant, of the provisions of the Charter and Statutes (currently under review);
  
• 
  confirming the remuneration and conditions of service of other employed Senior Officers required for the proper governance of the University, taking into account, where relevant, the provisions of the Charter, Statutes and Ordinances. These posts being the Vice- Principal, the Deputy Principals and the Chief Financial Officer;
  
• 
  confirming the remuneration and conditions of service of Deans of Faculty and Directors of Professional Services (as established by the Professional Services Review) required for the proper governance of the University, taking into account, where relevant, the provisions of the Charter, Statutes, Ordinances and Regulations;
  
• 
  reviewing the performance of the above post holders, normally on an annual basis, and determining what adjustments should be made to their remuneration and conditions of service;
  
• 
  confirming the terms of agreed severance and/or early retirement of any of the above post holders;
  
• 
  deciding on any issues referred to it involving the remuneration and conditions of service of Senior Staff where such a referral would represent good practice in the conduct of public life;
  
• 
  confirming the University’s position on the affordability and acceptability of the terms of any national pay agreement proposed or entered into by the Universities and Colleges Employers Association;
  
• 
  reporting to Court as necessary.
  

1.2.2 Composition

The Convener of Court ex officio (in the Chair)

The Treasurer ex officio

The Deputy Convener of Court ex officio (Staff)

The Deputy Convener of Court ex officio (Estates)

The Convener of Audit Committee ex officio

The Principal * ex officio

Secretary: Director of Human Resources ex officio
*The Principal is not a member of the Remuneration Committee when his or her own remuneration and/or conditions of service are determined, nor will he or she be present while these matters are considered. The Secretary (Director of Human Resources) will also withdraw when his or her case is being considered.
Joint Negotiating and Consultative Committee (Court and AUT)

1.2.3 The Court has established a Joint Negotiating and Consultative Committee (Court and AUT). Court shall nominate 4 members annually to the Committee at least 2 of whom shall be members of Court or of the University Management Committee and 4 members nominated annually by the Strathclyde University and Colleges Union, all of whom shall be full members of the Union, to consult and negotiate on the terms and conditions of employment of academic and academic-related staff, and to make recommendations and reports to the Staff Committee, all in terms of an Agreement concluded by the Court with the Strathclyde University and Colleges Union.

Joint Consultative Committees with Unison, for Manual Staff and for Technician Staff

1.2.4 The Staff Committee has established three Joint Consultative Committees, concerned with Unison, with manual staff, and with technician staff respectively, each comprising two members appointed by the Staff Committee (one of whom shall be Convener), the Director Human Resources or the Director's nominee, if appropriate one member of the academic or administrative staff appointed by the Staff Committee nominees, and up to five members appointed by the staff associations and trade unions representing the staff concerned. Their terms of reference are (a) to discuss matters of mutual interest to the University and the staff represented on the committee concerned as may be requested by the Staff Committee or by the staff representatives, in order to foster the best possible relations between the University in its role as employer and the members of its non-teaching staff; and (b) to make reports and recommendations to the Staff Committee on matters discussed.

Statutory Advisory Committee on Safety and Occupational Health

Terms of Reference

1.2.5 To be responsible to the Court for monitoring the implementation within the University of the provisions of the Health and Safety at Work etc Act 1974 and of other relevant legislation, including all regulations promulgated thereunder.

1.2.6 To keep under review the measures taken by the University (including the Statement of Safety Policy, Safety Arrangements and the various Departmental Regulations) to ensure that all reasonably practicable steps are taken to secure the health and safety at work of all employees, students and visitors and to recommend to the Court any amendments thereto in the light of experience.

1.2.7 To monitor the development of the Occupational Health Strategy and to make recommendations for amendment hitherto in the light of experience.

1.2.8 To receive from time to time reports from those persons responsible to the University Court for safety in their areas, for example, Heads of Departments and, if necessary, require them to attend a meeting of the Committee.

1.2.9 To receive from time to time reports of all accidents, incidents, dangerous occurrences and incidents of occupational ill health: to report to the Court on unsafe and unhealthy conditions and practices and to recommend to the Court such corrective action as may be considered necessary; also, to inform Court of the circumstances of any incident involving health and safety which gives rise to civil litigation being taken against the University.

1.2.10 To examine Departmental Safety Audit Reports and Deans/Senior Officers Annual Safety Statements regarding health and safety management within their areas of responsibility.

1.2.11 To consider reports and factual information provided by inspectors of the enforcing authority appointed under the Health and Safety at Work etc Act 1974, normally submitted by the University Safety Adviser or by Trade Union safety representatives.

1.2.12 To consider reports which Trade Union safety representatives may wish to submit.

1.2.13 To keep under review the effectiveness of the safety content of the training of employees and students and to recommend to the Court such improvements thereto as may be considered necessary.

1.2.14 To keep under review methods of ensuring the effective dissemination of information, throughout the University, of matters affecting health and safety.

1.2.15 To obtain information required for the effective discharge of the Committee’s terms of reference.

1.2.16 To submit routinely the Minutes of the Statutory Advisory Committee on Safety and Occupational Health to the University Management Committee (forwarded to the University Court). However, if necessary, emergency reports from the Statutory Advisory Committee on Safety and Occupational Health may be submitted directly to Court.

1.2.17 To receive reports from the Group on Personal Safety concerning the standard of personal safety being attained by the University.

1.2.18 To receive reports from the Genetic Modification Safety Committee with regard to the standard of health and safety management in this area.

1.2.19 To receive reports from the Technical Working Party on Fume Cupboards.

1.2.20 To set up sub-committees, as necessary, and to receive reports from such.

1.2.21 To make an annual report to be laid before the Court.

Composition

1.2.22 1 member appointed by each Trade Union or Professional Association recognised for the purpose by the Court

1 member appointed by the Council of the Students Association

Such other members appointed by the Court (one of whom shall be Convener) so as to make an equal representation of Court appointed members and members otherwise appointed.

University Officers with relevant responsibilities will normally attend all meetings of the Statutory Advisory Committee on Safety and Occupational Health.

The Statutory Advisory Committee on Safety and Occupational Health shall have the authority to invite other persons with relevant experience and expertise to attend meetings of the Committee.

Audit Committee

Terms of Reference

1.2.22 (i) To assist and advise Court in the discharge of its responsibilities by means of

the promotion, review and monitoring of effective accounting policies, practice and reporting, and ensuring compliance with relevant accounting standards;
review of the internal and external auditor’s assessment of the effectiveness of the University’s financial and other control systems, including controls specifically to prevent or detect fraud and other irregularities;
review of the University’s compliance with SHEFC guidance;
review of the scope, the remits and findings of both the internal and external auditors, and establishing appropriate performance measures and indicators for monitoring the effectiveness of both the internal and external audit provision;
to take action as appropriate on the notification of fraud or other improprieties received from the Head of Internal Audit or other persons;
recommendations on policies and procedures for value-for-money studies and the prosecution of such studies;
review of the draft Financial Statements, the statement on corporate governance, the External Auditors report and the Management Letter prior to their submission to Court for approval;
direct communication with the internal and external auditors, line management, and the University Management Committee, and ensuring appropriate liaison and co-ordination between the internal and external auditors;
(ii) To recommend to Court the selection, appointment, remuneration, and scope of work to be undertaken by the external auditors, and to review their performance on an annual basis and to recommend to Court accordingly;
To review and endorse the annual audit plan as prepared by the External Auditors;
(iii) To advise Court on the criteria for the selection and appointment of the Head of Internal Audit;
To approve the terms of reference for the Internal Audit Service and review the resources it requires;
To consider and endorse the audit needs assessment and the annual internal Audit plan, an executive summary of which would be submitted to Court for approval;
To consider the executive summaries of Internal Audit reports, thereby reviewing the effectiveness of relevant financial and other control systems, and to approve the criteria for grading the recommendations in such reports;
To consider the follow-up reports produced by the internal auditors, thereby reviewing the action taken in the light of recommendations made in the audit reports.
(iv) To make recommendations to Court as necessary in pursuance of items (i) to (iii) above;
(v) To report to Court as frequently as may be necessary and to provide an annual report;
(vi) To engage in other activities as authorised by Court.
Composition

1.2.23 Four lay members of Court (of whom one shall be Convener), at least one of whom shall have relevant financial expertise. The Committee may co-opt up to two further members who are not members of the staff of the University but who may be lay members of Court or external to the University, for a period of time to be determined by the Committee.

1.2.24 Quorum

There shall be a quorum at any meeting of the Committee when not less than half of the members of the Committee are present. In the absence of a quorum no business shall be transacted other than the adjournment of the meeting.