/Institutions/University-of-Dubai/json/2024-2025/Policy-and-Procedure-Manual-local.json

/Institutions/University-of-Dubai/json/2024-2025/Policy-and-Procedure-Manual.json

Policy and Procedure Manual 2024-25 > Faculty and Professional Staff > Disciplinary Policy

Disciplinary Policy

Policy

The UD community affirms the value of a peaceful and purposeful community, founded on the moral and ethical integrity of students, staff and faculty. UD expects that the commitment to mutual responsibility and a spirit of cooperation will create a community that is orderly, caring and just. The purpose of this process statement is to affirm those basic principles that underlie the rights and responsibilities of the UD constituents and take action against any violation. UD ethical values include respect of the individual, other’s property, the community, and the environment, self-discipline and integrity.

To incorporate ethical values into the UD system and ensure its effective monitoring, deans, managers and departments’ heads are responsible for:

1. Managing the department employee’s discipline and maintaining it. 

2. Familiarize the department employees with UD guidelines, policies and procedures. 

 

1. Reporting Violations

In the case a misconduct occurs, the dean and/or department head must report the case to HRD for evaluation if a misconduct will be considered a minor or a major case. 

In addition, any UD community member (faculty, staff, and student) or a guest may file a report if he/she feels there is evidence to support a belief that another member has engaged in a behavior that violated a UD value. To have a resolution to the report, all four of the following must occur:

1. The report must be in writing and signed by the person providing the information. No action shall be taken on anonymous complaints.

2. The respondent/defendant must receive a copy of the written report. 

3. The complainant must be willing to attend a hearing if the respondent denies the value violation provided the personal rights of the complainant are protected. 

4. A report shall be filed with the Chair of Ethics & Values Committee (EVC). If the report needs clarification or merits further investigation, it will be the responsibility of the EVC to gather the facts and data to ensure fairness in resolving the issue.

Any minor or major misconduct cases occurred by management, the evaluation will be undertaken by a committee appointed by the president.

2. Terminology

1. Complainant:  A Complainant is a member of the university community (student, faculty, or staff) who is reporting a violation of the Code of Ethics, Conduct or Values.

2. Respondent/Defendant: A Respondent/Defendant is a member of the university community (student, faculty, or staff) who is reported to have violated the UD’s Code of Ethics, Conduct or Values. 

3. Hearing: A Hearing is a formal meeting before the investigation committee during which the complainant will have the right to speak, and the defendant exercises the right to be heard based on a presentation of a documented evidence of violation.

4. Sanction: A Sanction is a penalty imposed by the investigation committee based on the outcome of a hearing.

 

3. Minor Cases of Misconduct 

In case of a minor misconduct, the department head (Academic/non academic) will invite and chair the meeting with the employee within 5 working days of the reported incident. The meeting will be held with HRD. In case the employee didn’t attend, then it will be conducted in absentia.

When the meeting is held, the employee will be given the opportunity to fully justify his/her response and thoroughly explain his/her conduct. In addition, all the supporting statements will be shared with the employee. 

Meeting minutes will be kept with HRD and placed in the employee file. The committee decision will be shared with the employee in writing depending on the findings. In some cases, no action will be done or the matter can be handled informally. 

 

4. Sanctions for Minor Cases of Misconduct 

Sanctions that may be imposed on students who violate the UD ethics and values as detailed in UD Policy A 1.9 UD Expectations and the Code of Conduct, Values. When dealing with violations committed by members of the UD community, the EVC committee may impose one or more of the following sanctions upon the respondent. 

1. Verbal Warning: A verbal warning is an oral educational guideline, which can be in a written format. This warning will pinpoint the behavior and corrective action needed (where appropriate). It also can describe the future consequences in case of non-compliance.

2. Written Warning: This warning can be identified either as “written warning” or “first written warning”. This warning will only be in a formal UD letterhead directed to the UD employee and it will outline the misconduct, the improvements required (where appropriate) and the possible consequences of future non-compliance. The validity of warning is six (6) months). The UD employee receiving this letter must acknowledge receiving it.

3. Final Warning: This warning is given to an employee when the conduct is seriously inadequate. It is a formal letter in UD letterhead titled “final warning”. As with the earlier mentioned warnings, the misconduct and the required improvements are mentioned (where appropriate). The employee is placed on probation for a duration of three (3) months. During this probationary period, the employee's conduct and adherence to UD's ethics and values will be closely monitored. The probationary period serves as an opportunity for the employee to demonstrate their commitment to improving their behavior and aligning with the expected standards. During the probationary period, it is essential for the employee to strictly adhere to the expectations outlined in the Final Warning. The UD employee receiving this letter must acknowledge receiving it.
   Note: Even if the probationary period concludes without any violations and the employee's status transitions to a non-probationary state, it is explicitly stated that a repetition of the same violation that initially led to the issuance of the Final Warning will result in termination of employment.

4. Termination: In the event that the employee commits any violation during the probationary period, regardless of whether the violation is similar to the one that led to the issuance of the Final Warning or not, the consequence will be termination of their employment.
   

 

5. Major Misconduct Cases
For major misconduct cases, an “Ethics and Values Committee (EVC)” is established to oversee the infusion of ethical values into the educational and administrative processes. The committee members have a greater responsibility to entice various UD groups (student group, faculty group and staff group) to promote ethical behavior on campus and into their lives. The committee will work with the procedures outlined in this policy for investigating any possible violations by any member of the UD community. 

The Investigation Committee (IC) for handling students-related cases will be called the Students Investigation Committee (SIC) while the Ethics and Values Committee (EVC) will handle issues related to faculty and staff members.

6. EVC Composition  

The UD President will appoint the members of SIC/EVC committees from among the pool of UD faculty, staff and possibly members of the Students’ Union on an annual basis. The committees are empowered by the President to implement the process and issue sanctions to ensure ethical conduct across the UD community. Normally two faculty/administrative staff, besides the Chair, will be selected for each SIC/EVC hearing to investigate the alleged violation. The committees may also invite a member from UD’s Students Union when deemed appropriate. The committee members shall ensure confidentiality of matters related to the case. 

7. General Guidelines

1. A respondent believed to have violated a value will be notified by the UD-IC and given 7 working days to respond to the written evidence. 

2. A respondent who admits to the violation based on the written evidence will meet with the IC to receive guidance and a sanction. 

3. A respondent will receive a written confirmation of the sanction imposed. 

4. A respondent who does not admit the stated violation based on the written evidence will be invited to a hearing in order to resolve the issue. 

5. In the interest of fairness to all involved parties, all proceedings under these procedures shall proceed as expeditiously as possible. Where a specific timetable is not outlined in these procedures, a 30-day time period shall be observed.

6. A hearing will be rescheduled if less than 50 percent of the IC, excluding the Chair, is present at the hearing. 
   

 

8. Hearing Process

1. The respondent will be notified by the IC of the date, time, and place of the hearing. 

2. During the meeting, the IC Committee can provide the details of the claims or evidence in the scheduled meeting. Sufficient time will be allocated for the UD employee to express his/her response. 

3. The respondent’s supervisor (advisor in case of student) and witnesses are allowed to attend the hearing. Only in extenuating circumstances, may the Chair allow or request others to attend. 

4. The hearing will begin with the IC and its Chair, the respondent and his/her supervisor, with the complainant present. After appropriate introductions, the Chair will ask the complainant to verbally present his or her evidence. The respondent will then be allowed to respond to the claim and may question the evidence. At any time, the IC members may ask questions to either party. 

5. Witnesses will be allowed into the hearing after the initial evidence and questioning have concluded. The Chair will invite and dismiss witnesses at his or her discretion. The witnesses may be questioned by the IC, the respondent and the complainant. 

6. After the Chair has determined that both parties have been given a fair opportunity to present their cases, and after the IC has concluded its questions, everyone except the IC are dismissed for committee deliberation. 

7. The Chair will guide the IC in deliberation to a point where a secret ballot vote will be taken. A simple majority vote is necessary to agree that a member has violated a value. The Chair votes only if there is a tie vote. 

8. Whenever a simple majority agrees that a value violation has occurred, the IC will determine a sanction. 

9. The Chair will report the recommendation to the UD President who will inform the member in writing and implement the decision whenever necessary. The defendant has the right to appeal the decision as per policy FP 5.10. 

10. Failure to attend a hearing will result in a decision being made based on the available evidence. 

11. Documenting the IC meeting minutes will be placed in the employee’s personal folder.

 

9. Sanctions

Sanctions that may be imposed on UD employees who violate the UD ethics and values are detailed in UD policy 1.9 UD Expectations and the Code of Conduct, Values, and Ethics. When dealing with violations committed by other members of the UD community, the EVC committee may impose one or more of the following sanctions upon the respondent. 

1. First Written Warning: When the committee deems it appropriate, it may recommend corrective actions and can describe the future consequence in case of non-compliance.

2. Final Warning:  when the conduct is critically serious, a final warning can be given to the employee with the title “Final Warning”. The misconduct and the required improvements are mentioned (where appropriate). The UD employee receiving this letter must acknowledge receiving it. This warning will be valid for one year. 

3. Expulsion: The committee may find that permanent expulsion is an appropriate penalty. This may happen if the respondent has:
   

   • Violated the code with malice, in a manner that has caused or was likely to cause harm to another person in the UD community.
   • Repeatedly made serious violations of the code.

 

10. Appeal  
Appeal procedures for students are described in UD policy 5.19 - Student Appeals Policy & Procedures. For other members of the UD community, the appeal process is outlined in FP 5.10.