Procedure for appeals against actions taken under the disciplinary and capability procedures

For all staff other than those covered by Statute XXI (Academic Staff)

1. Appeals against formal actions, including dismissal, will be considered solely in accordance with the following procedure. It is the University's intention that this procedure shall in no way detract from an employee's right to pursue a further appeal under current legislation. In every case where formal action is taken, a copy of this procedural document shall be furnished to the employee concerned along with the notification of the action.

2. Appeals against actions short of dismissal

a) An appeal against any action short of dismissal shall be heard by the relevant Dean (or a Pro Vice-Chancellor in respect of non faculty employees).  Where a Dean is unable to hear the appeal because of prior involvement in the case a Pro Vice-Chancellor shall take their place.

b) An employee who wishes to appeal against formal action short of dismissal shall notify their Head of Department or Section and the Director of Human Resources in writing of the intention to appeal.  This must be done within two working weeks of receiving notice of the action.  Appended to the notification sent to the Director of Human Resources shall be a signed written statement stating fully the grounds for the appeal and setting out any mitigating circumstances.

c) The appellant's Head of Department or Section shall prepare a full statement of the circumstances of the case including dates of any action taken and copies of any record made or document issued in relation to the case. The statement will be sent by the Head of Department or Section to the Director of Human Resources not later than one working week after receipt of notification of intention to appeal.

d) When both statements have been received the Director of Human Resources shall send a copy of each statement to the appellant and the Head of Department or Section respectively.

e) The Director of Human Resources shall provide copies of all documents relevant to the appeal to the person hearing the appeal and arrange for a hearing to be held as soon as possible. The appellant and the Head of Department or Section shall each have the right of appearance, accompanied by a colleague of their choice (who may for this purpose be a full-time official of the trade union appropriate to their employment), at the hearing.

f) At the discretion of the person hearing the appeal the appellant and the Head of Department of Section shall each have the right to call witnesses. The person hearing the appeal shall also be entitled to call before them any person who they consider might have information relevant to the case or who in their opinion might otherwise be of assistance in their deliberations. They may permit any person called before them to be questioned by either party to the appeal or their colleague.

g) The person hearing the appeal shall publish their decision to all parties to the appeal and, where appropriate, may direct that any reference to the action taken which led to the appeal be expunged from the appellant's personal file.

3. Appeals against dismissal

(a) An appeal against dismissal shall be heard by a panel of three persons.  The composition of the panel shall be as follows:

• a Chair, who shall be a lay member of Council nominated by the Chair or Vice Chair of Council, either of whom may nominate themselves
• a member, who shall not be from the same department or section as the appellant, shall not have a line management relationship with the appellant and who shall not have been involved in the action which led to the appeal, nominated by the Chair or Vice-Chair of Council.
• a member, who must be an employee of the University, who must not have been involved in the action which led to the appeal, and who may be a member of the union recognised by the University as appropriate to the appellant's employment, nominated by the appellant.

(b) An employee who wishes to appeal against dismissal shall notify their Head of Department or Section and the Director of Human Resources in writing of the intention to appeal and indicating a nominee to the Appeals Panel.  This must be done within two working weeks of receiving notice of dismissal.  Appended to the notification sent to the Director of Human Resources shall be a signed written statement stating fully the grounds for the appeal and setting out any mitigating circumstances.

(c) The appellant's Head of Department or Section shall prepare a full statement of the circumstances of the case including dates of any action taken and copies of any record made or document issued in relation to the case. The statement will be sent by the Head of Department or Section to the Director of Human Resources not later than one working week after receipt of notification of intention to appeal.

(d) When both statements have been received the Director of Human Resources shall send a copy of each statement to the appellant and the Head of Department or Section respectively.

(e) The Director of Human Resources shall arrange for the Appeals Panel to meet on as soon as possible and shall provide the members of the Panel with copies of all documents relevant to the appeal. The appellant and the Head of Department or Section shall each have the right of appearance, accompanied by a colleague of their choice (who may for this purpose be a full-time official of the trade union appropriate to their employment), before the Panel.

(f) At the discretion of the Appeals Panel the appellant and the Head of Department of Section shall each have the right to call witnesses. The Panel shall also be entitled to call before it any person who it considers might have information relevant to the case or who in its opinion might otherwise be of assistance in its deliberations. The Panel may permit any person called before it to be questioned by either party to the appeal or their colleague.

(g) The Appeals Panel shall attempt to reach an unanimous opinion but where this proves not possible a majority opinion shall be conclusive. The Panel may adjourn its proceedings if necessary but it shall make every effort to conclude its proceedings on the same day.

(h) The Chair of the Appeals Panel shall publish the Panel's decision to all parties to the appeal and, where appropriate, shall direct that any reference to the action taken which led to the appeal be expunged from the appellant's personal file.

Suggested Order for Conduct of Appeal Hearings

1. The person hearing the appeal or Chair of the Appeal Panel will open the hearing by setting out the following procedures:

2. The Head of Department/Section shall present their case and witnesses.

3. The Appellant and person(s) hearing the appeal may ask questions of the Head of Department/Section and witnesses.

4. The Appellant shall present their case and witnesses.

5. The Head of Department/Section and person(s) hearing the appeal may ask questions of the Appellant and witnesses.

6. The Head of Department/Section shall sum up their case.

7. The Appellant shall sum up their case.

8. Both sides shall withdraw until the panel reaches a decision.

9. The person(s) hearing the appeal shall deliberate in private and shall be able to recall both parties to clear points of uncertainty on the evidence already given. If recall is necessary both parties are to return, notwithstanding only one is concerned with the point in question.

10. The person(s) hearing the appeal shall announce the decision to the parties in person.

(Approved by the Chair of Council January 2008)
Author: Human Resources (PHC) January 2008