Capability

Guidelines

1. Application and Scope

  1. 1.1 In order to ensure the continued success of the University it is important to ensure that all staff know what is expected of them and the standards they are required to achieve. This should form part of the normal day to day management process.
  2. 1.2 Whilst the vast majority of staff meet or exceed the standards required of them, performance problems can and do arise. It is incumbent upon managers who identify shortcomings in performance to seek to address these at the earliest opportunity and the capability procedure provides a framework for dealing with performance issues in a fair, consistent and supportive way. The focus of the procedure is to resolve performance problems by providing appropriate support to enable the employee to perform to the standard required.
  3. 1.3 The procedure applies to all employees employed by the University of York under a contract of employment except that only paragraph 5.2 of the procedure applies to those within their probationary period and subject to a specific probation procedure.

    4. Further details of the probationary policy and procedure

  4. 1.4 Capability refers to an individual employee's ability to perform the work expected of them to required standards.
  5. 1.5 The distinction between capability and conduct may become blurred in some cases and it is important to distinguish between them as early as possible to ensure that the correct procedure is used. If performance problems are judged to result from conduct (over which the employee has control) the University's disciplinary procedure will apply. The fundamental distinction between capability and conduct may be expressed as "can't as against won't" respectively, the latter implying some degree of control, deliberation and/or choice. In cases of doubt guidance should be sought from the relevant HR Manager.
  6. 1.6 It should also be recognised that capability problems may be outside the employee's direct control and can be symptomatic of underlying work problems or other personal issues. Consequently there is a need to treat all capability issues with care and sensitivity and to identify and (where appropriate) address the real causes. Particular care should be taken when health issues are involved and advice sought from relevant specialists as appropriate.
  7. 1.7 Trade Union Representatives - Where capability action is being considered against an employee who is a trade union representative the normal capability procedure will be followed. Depending on the circumstances, however, and after obtaining the employees consent, it is advisable to discuss the matter at an early stage with an official employed by the union. As this will normally involve contact with the Regional Union Office this will be dealt with by Human Resources.
  8. 1.8 Movement between procedures - If after commencing this procedure, the authorised manager in conjunction with an HR manager, considers that the case in question should have been dealt with under an alternative procedure the case may be transferred to a different procedure. The employee concerned may also make representations regarding the procedure to be followed. In cases of disagreement the Director of HR will determine the appropriate procedure to be followed and there shall be no appeal against that decision. Those involved will be informed of the reasons for the movement between procedures.
  9. 1.9 There may be occasions when as a consequence of information obtained under one procedure it is appropriate to initiate action under an alternative procedure.
  10. 1.10 Investigations that have been undertaken in one procedure may be used as and where appropriate to inform another procedure.
  11. 1.11 The fact that action is being taken under an alternative University procedure does not, however, preclude the manager from initiating action under the capability procedure.

2. General principles

The following principles will apply to the application of this procedure:-

  1. 2.1 Poor performance is not acceptable to the University and will be addressed in a reasonable, timely and constructive manner.
  2. 2.2 There are many reasons why a performance issue may arise. No action under this procedure will be taken until the causes of the problem have been properly considered.
  3. 2.3 Full consideration should also be given to invoking other University policies or support services as appropriate e.g. the Policy on Alcohol, Code of Practice on Harassment, the Sickness Absence Policy and the Disability in Employment Policy. Individuals may also seek assistance from the University's Employee Assistance provider. Guidance on these should be sought from the HR Department.
  4. 2.4 If the cause of poor performance proves to be a work-related matter outside the control of the individual, the University will seek to address the issue as soon as possible.
  5. 2.5 Where responsibility for poor performance lies partly or wholly with the individual employee, the University will give encouragement and support to an employee who is willing to take reasonable steps towards resolving the issue.
  6. 2.6 At each stage in the procedure, an employee will be told about the performance problem and will be given an opportunity to state their case before any action is taken.
  7. 2.7 Informal resolution - Performance problems are most effectively dealt with early and as close to the source of the problem as possible. Where procedures and circumstances allow an opportunity for informal resolution this should be considered at as early a stage as possible. This will require the willingness of those involved but should be considered before moving to the formal procedure. In most cases discussions between the line manager and employee will resolve any issues informally.
  8. 2.8 Suspension - In the rare event that the perceived incapability is considered serious enough to have a substantial adverse effect on the delivery of services or the safety or well-being of others, the University reserves the right to suspend an employee at any stage during this procedure. Suspension is not a penalty and is not an indication of culpability, there is therefore a presumption that suspension will be on full pay.
    1. 2.8.1 Any suspension will be considered seriously given the individual circumstances of a case. It will usually be considered in the following situations:
      • In cases of serious neglect of duty
      • to provide the opportunity for a full investigation to be undertaken
      • when an employee is considered to be a risk to themselves or others
    2. 2.8.2 The University may consider alternative arrangements to suspension to allow the employee to remain at work, for example, temporary redeployment, additional supervision or the restriction of duties, as is deemed suitable in the circumstances.
    3. 2.8.3 The decision to suspend will be taken by a Senior Manager or a member of the University Executive Board after consultation with a HR Manager.
    4. 2.8.4 In all cases, the suspension will be confirmed in writing, no more than five working days after the suspension. The letter will detail all the relevant circumstances relating to the suspension. Regular contact should be made with the employee during any period of suspension to provide updates on any developments and there should be an individual manager identified as a contact point.
    5. 2.8.5 The reason and arrangements for the suspension will be reviewed periodically (every four weeks) by the relevant manager referred to in paragraph 2.8.3 in consultation with HR.
    6. 2.8.6 During any period of suspension, the employee will be required to cooperate fully and to be available to meet during normal office hours. Whilst suspended, the employee will not be entitled to access any University premises unless directed to do so or to use the University's internet/intranet facility or to engage in their normal day to day duties unless agreed in advance.
    7. 2.8.7 Any request to attend the workplace during suspension to access information required in preparation for a meeting or hearing will not be unreasonably refused but the employee will be accompanied.
    8. 2.8.8 If the employee becomes ill or wishes to take annual leave during the period they are suspended the procedures for reporting and authorising such leave will still be applicable. In these circumstances managers should contact HR.
    9. 2.8.9 There may be exceptional circumstances when pay may be withheld during a period of suspension. This might arise, for example, where an employee is debarred from work as the University would be in breach of legislation by continuing to employ the individual. Any decision to withhold pay during a period of suspension must be authorised by the Director of HR.
  9. 2.9 Temporary Exclusion from Work
    1. 2.9.1 There may be exceptional occasions when due to the timing and or availability of a relevant manager authorised to suspend and due to the seriousness of the situation, exclusion is considered appropriate in advance or instead of suspension e.g. a major breach of health and safety requirements.
    2. 2.9.2 When first aware of such a serious situation a manager may instruct an employee to leave work and remain at home on full pay until further notice, in order to allow the manager to take appropriate advice and decide on the next steps. This would be a temporary exclusion (rather than suspension) to allow the manager to determine if suspension is warranted. Any such exclusion will normally last for a day or two and certainly no longer than a week, and must be reported to the Director of HR as soon as possible to facilitate a prompt decision.
  10. 2.10 Right to be accompanied
    1. 2.10.1 Formal Meetings - All employees who are the subject of this procedure will have the right to be accompanied at any formal meetings held under this procedure by a single trade union representative or work colleague. The work colleague must be an employee of the University of York and time off will be allowed to them to facilitate attendance. Employees are expected to make all arrangements for their work colleague to attend meetings and it is expected that adequate time be allowed to arrange representation and for attendance. Where the chosen companion cannot attend on the date proposed, the employee can propose an alternative time and date so long as it is reasonable and is within a reasonable timescale, normally five working days of the original date.
    2. 2.10.2 Informal Meetings - By agreement, the facility to be accompanied may be extended to the informal stage where this is deemed to be in the interests of an early resolution. If a member of staff wishes to be accompanied at an informal meeting permission will not be unreasonably withheld.
    3. 2.10.3 Role of representative or companion See Section 4 for roles and responsibilities.
    4. 2.10.4 Definition of representative or companion - Whilst legal representation would not normally be consistent with an internal procedure, there may be situations when it may be helpful for either party to be legally represented and, subject to agreement, legal representation may be appropriate. Employees should note that the absence of legal representation will not prejudice their legal rights and they will still have recourse to the provisions of employment law
  11. 2.11 Equality and Diversity
    1. 2.11.1 To ensure fair treatment and, where appropriate, provision of support by the University in the application of this procedure, employees should be encouraged to provide information about any equality or diversity issues which may be relevant. In the case of a disability or language issue an employee may be accompanied by an appropriate person to provide support.
    2. 2.11.2 Managers should check if there are any special arrangements, e.g. support for a disability, that an employee or their companion may require to enable them to participate fully in the procedure. Appropriate guidance may be sought from an HR Manager. Correspondence in relation to this procedure will invite the employee to inform the University if they require additional support.
    3. 2.11.3 The possibility that poor performance may arise from misunderstandings due to ethnic/cultural/gender/disability or other issues should also be considered and the Equality and Diversity Office/Disability Office consulted as appropriate. Cases in this category will be dealt with sympathetically.
  12. 2.12 Confidentiality
    1. 2.12.1 All parties involved in this procedure must ensure that they maintain the confidentiality of the process as appropriate within and outside the University. It might be appropriate, for example, for a member of staff to discuss a procedure with their partner or with a trade union official. Disclosure of information by any of the parties involved might also occur where this is required under law or where there is a circumstance involving duty of care which requires disclosure, e.g. where a manager has concerns for the well being of the employee or others.
    2. 2.12.2 Audio and video recording of meetings is not permitted except in exceptional circumstances, by prior agreement with all parties.
  13. 2.13 Involvement of HR
    1. 2.13.1 A member of the human resources team will be consulted and will advise on the formal process and any suspension. A HR representative will normally be present in formal hearings when dismissal may be an outcome.
    2. 2.13.2 If required, a further person, normally from HR, will act as note taker during such formal hearings. The notes will be made available to the parties present following the meeting.
  14. 2.14 Timescales
    1. 2.14.1 The aim throughout the procedures is to ensure that staff are treated reasonably and in accordance with the principles of fairness and justice. All procedures should be expedited as soon as reasonable whilst still allowing these principles to be achieved.
    2. 2.14.2 Whilst every endeavour will be made to comply with timescales, due to the complexity and or specific circumstances of a case, timescales may be extended. In such circumstances the individuals concerned will be advised of the reasons for any delay.
    3. 2.14.3 To prevent delays communication in relation to this procedure may be issued via electronic mail.
  15. 2.15 Attendance
    1. 2.15.1 If an employee does not attend a meeting convened under this procedure normally the meeting will be adjourned to establish contact with the employee to ascertain the reason for his/her absence.
    2. 2.15.2 However, where an employee persistently fails to attend a meeting/ hearing without good cause, the appropriate manager will make a decision on the evidence available.

3. Authority to Act

  1. 3.1 The term Head of Department includes Heads of (or Directors of) Support Service Directorates. Except in relation to paragraph 2.8.3, the Head of Department may select a nominee to act on their behalf. The nominee will be agreed in conjunction with HR and will be a senior colleague. In the absence of the Head of Department it may be appropriate for the manager deputising for the HoD to act on their behalf.
  2. 3.2 There may be exceptional circumstances where it would not be appropriate for the Head of Department to act in a case e.g. the Head of Department is required to act as a witness or is the subject of a complaint. In such circumstances the case will be referred to the Director of HR who may refer the case to an alternative Head of Department or a more senior officer of the University.

4. Roles and Responsibilities

    Title Role
    Authorised Manager As detailed in this procedure, line managers, including but not limited to, Heads of Department, will usually deal with performance issues when they become known. They may consult with HR and if necessary make further investigations to establish the nature and extent of the performance shortfall.
    HR representative member of the HR team usually HR Advisor The HR representative will provide advice in respect of the application of this procedure. They will support the manager in the process of making an informed, fair and reasonable decision. They will ask questions at meetings and challenge evidence where required.
    Employee Will answer complaints made under this procedure. Will be provided with the opportunity to bring forward information and put his/her case at any meetings or appeal. They may question any witnesses and/or the presenting manager and may make representations to the appeal officer(s).
    Representative or companion This may be either a Trade Union representative or work colleague. They will support and advise the employee, and may ask any questions or make any representations on behalf of the employee. They cannot answer questions that are directly put to the employee.
    Manager who made the original decision being appealed

    		May present the case or be a witness to explain the decision being appealed. May be accompanied by advisor.
    Note taker To take notes of the hearing. These will be notes of key points and will not be a verbatim record. The notes will be provided to both parties who will have the opportunity to submit their comments.
    Appeal Panel

    		 In cases of dismissal there will be an appeal panel of three senior managers appointed by the Vice-Chancellor, including a chair, who will be a Member of University Executive Board
    Appeal Officer (Appeal panel in cases of dismissal) To lead and direct the hearing, decide if the employees appeal is justified, by questioning and challenging all available evidence in order to make an informed, fair and reasonable decision.
    The appeal officer should encourage all parties to speak freely to establish all the facts and determine if there are any special circumstances to be taken into account.
    Senior Manager Member of the University Executive Board, Dean of Faculty, Associate Dean, Head of Support Directorate (Senior Management Group), Head of Department.
  1. 4.1 Individuals involved in specified roles should not be compromised in fulfilling those duties, for example, due to, significant prior knowledge of or involvement in the case or undertaking another role such as witness. If there is any concern from any party regarding potential compromise, this should be raised with the Director of HR.
  2. 4.2 If a senior manager is subject to this procedure their line manager would be responsible for managing the process and adopting the roles as indicated for Heads of Department.

5. Informal Procedure

  1. 5.1 The informal approach is aimed at bringing concerns to the attention of the employee, exploring causes, identifying responsibilities and agreeing actions to be taken.
  2. 5.2 Line Managers should seek to resolve performance issues informally and as they arise, by discussing them with the employee to explain and agree what actions need to be undertaken to achieve the required improvements.
  3. 5.3 Line managers should be supportive of employees and consider the employees views and/or any mitigating circumstances that may be affecting their performance.
  4. 5.4 Informal meetings and discussions should highlight:
    • The nature of the concerns
    • The expected standards of performance
    • Any necessary actions required to be carried out by the employee or manager to aid improvement
    • Any timescales for improvement and review dates
    • The potential consequences of not achieving the required improvements in performance
  5. 5.5 During the informal procedure it is appropriate to bear in mind a range of possible outcomes including:
    • continuing with an informal approach
    • taking action or providing support under one of the alternative approaches or support systems listed in 2.3 above
    • providing appropriate training or development opportunities
    • by agreement, transferring the employee to a different post within the department
    • by agreement, investigating the possibility of alternative roles within the department
  6. 5.6 The manager may issue advice and guidance to the employee or provide coaching or take other informal action. Line managers must also provide employees with access to the support or training necessary to assist them in meeting the required standards.
  7. 5.7 Notes should be made to record the discussions and to confirm the outcome. These should be retained by the line manager to review the employee's progress against any targets set. These notes will not be retained on the personal file during any informal procedure, however, they may be referred to should the case later warrant consideration of formal capability action.
  8. 5.8 If the informal action resolves the concerns then it would normally be appropriate to retain such notes for no longer than a 12 month period.
  9. 5.9 A decision to enter the formal procedure may be taken only after discussion with a member of the HR Department.

6. Formal Procedure

  1. 6.1 If the above does not resolve the matter, or if it is clear that the problem is more serious, a more structured and formal approach may be needed. A staged approach will be adopted as detailed in the capability procedure. This will seek to establish:
    • the performance gap
    • the causes
    • the impact the poor performance is having
    • the actions to be taken
    • who has responsibility for the actions
    • the performance standards that are required
    • the support to be given to the employee
    • a timetable to review the agreed objectives
  2. 6.2 The focus of the formal procedure will be to give an employee support to help them to achieve the expected performance standards.
  3. 6.3 At any stage of the formal procedure a manager may consider a range of options including:
    • reverting to an informal approach
    • taking action under an alternative University procedure
    • providing appropriate training or development opportunities
    • by agreement investigating the possibility of alternative roles within the department

    This list is not exhaustive.

  4. 6.4 Level 1 Formal Meeting (Written Warning)
    1. 6.4.1 If performance does not meet acceptable standards, and coaching or other informal action is not considered appropriate or has not succeeded in addressing the problem, the manager will meet with the employee to discuss the issues.
    2. 6.4.2 An employee will normally receive a minimum of ten working days written notice of any capability meeting. The letter inviting the employee to the meeting will outline the performance issues to be considered and the employee will be provided with any relevant documentation. The employee will also be advised of their right to be accompanied.
    3. 6.4.3 At the meeting the manager will outline the performance issues that have led to the meeting and the employee will be given the opportunity to state his/her case and raise any factors s/he wishes to have considered. If, in the view of the manager, the employee is unable to provide a satisfactory explanation for the performance shortfall, they will be advised of:
      • The improvement in performance required
      • The timescale for improvement
      • Any support to be received
      • The consequence of not meeting the performance targets
    4. 6.4.4 A written warning will in that case be issued and the above will be confirmed in writing to the employee within five working days. The employee will also be advised of their right of appeal. A copy of the letter will be retained on the employee's personal file for a period of twelve months.
    5. 6.4.5 If the manager finds the employee's explanation satisfactory, they will confirm that to the employee in writing within five working days.
  • 6.5 Level 2 - Formal Meeting (Final Written Warning)
    1. 6.5.1 If the problem is more serious, or if there has been a failure to meet the performance targets set at the first formal meeting, the employee shall be invited in writing to a level two formal meeting. The letter inviting the employee to the meeting shall set out the issues to be considered. At the meeting the manager (who will be accompanied by a member of the HR team) will outline the performance issues that have led to the meeting and will review the circumstances of the case and the actions taken to date. The employee will be given the opportunity to state their case and raise any factors they wish to have considered.
    2. 6.5.2 If no satisfactory explanation is given for the failure to meet the required standard of performance, the manager will write to the employee with a final written warning normally within five working days. The letter will indicate:
      • The improvement in performance required
      • The timescale for improvement
      • Any support to be received
      • The consequence of not meeting the performance targets i.e. that the employee may be dismissed if no acceptable improvement in performance is achieved within the given timescale
      • The employees right of appeal.
    3. 6.5.3 A copy of the letter will be retained on the employee's personal file for a period of twenty-four months.
    4. 6.5.4 If the manager finds the employee's explanation satisfactory, they will confirm that to the employee in writing within five working days.
  • 6.6 Level 3 - Formal Hearing (Dismissal)
    1. 6.6.1 If the employee does not improve as specified in the final written warning issued under level two above, or where serious performance issues arise or gross negligence is alleged (and after such investigation as is appropriate in the circumstances), the employee shall be invited to a formal dismissal hearing with the Head of Department.
    2. 6.6.2 The meeting will take the form of a hearing conducted by the Head of Department who will be accompanied by a member of the HR team.
  • 6.7 Preparation
    1. 6.7.1 If it is decided to proceed to a hearing the employee will normally be given ten days notice and invited in writing to attend a hearing. The letter will explain the purpose of the meeting, and the circumstances that have led the University to consider dismissing the employee, including full details of the alleged performance issues. It will specify the manager who will conduct the hearing and will invite the employee to make any written submissions to that person and/or bring forward witnesses. They will also be advised that one consequence of the hearing may be the termination of employment.
    2. 6.7.2 The manager so specified will organise and conduct the hearing and may be accompanied by an HR representative; if a potential outcome is dismissal there will always be an HR representative present. The purpose of the hearing is to provide the opportunity for the employee to respond to allegations or complaints made under the capability procedure.
    3. 6.7.3 Prior to the hearing, the parties (i.e., the employee concerned and the person who is to present the management case) will submit to the manager conducting and hearing the case the names of any witnesses and an explanation of why their evidence is required together with any written submissions they wish to have considered and a copy of any documentary evidence they intend to rely on at the hearing. They will do so as soon as reasonably practicable and not less than five working days before the date set for the hearing to allow for an exchange of documents between the parties.
    4. 6.7.4 On the basis of the information submitted, the manager conducting and hearing the case will determine whether or not such witness evidence is required and will confirm the witnesses to be called. The manager may request additional witnesses but as they will only be able to consider this shortly before the hearing, notification may be given at the hearing.
    5. 6.7.5 Employees are responsible for making arrangements for their witnesses to attend. Where witnesses are employees of the University, appropriate time off will be facilitated.
  • 6.8 Conduct of the hearing
    1. 6.8.1 The manager conducting and hearing the case will introduce those present and explain the process that will be undertaken, encourage those present to speak openly.
    2. 6.8.2 Requests for adjournments may be made by any party.
    3. 6.8.3 If a witness is called by any party to the hearing they will be invited to attend at an appropriate time.
  • 6.9 Presentation of the case
    1. 6.9.1 The presenting manager will present the details of the performance shortfalls and any steps taken to address these. If appropriate s/he may present the findings of any investigation, may call witnesses, and question them and the employee in relation to the alleged performance issues. The presenting manager should:
      • state clearly the areas of concern
      • outline the case by going through the evidence that has been gathered
      • call witnesses if appropriate
      • answer questions that relate to the case.
  • 6.10 The employee
    1. 6.10.1 The employee or their representative will present their case, question witnesses and raise any issues s/he wishes to have considered.
    2. 6.10.2 The employee or their representative should:
      • state their case and respond to any performance issues raised.
      • ask questions and present any evidence in support of their case
      • call witnesses if appropriate
  • 6.11 The manager conducting and hearing the case
    1. 6.11.1 The manager conducting and hearing the case should:
      • Use questions to clarify the issues and to check that what has been said is understood.
      • encourage the employee to speak freely to establish all the facts
      • establish if there is any explanation for the alleged performance shortfalls
      • summarise the main points of the discussion after questioning is completed
      • ensure all evidence and points for all parties have been put forward
      • establish if there are any special circumstances to be taken into account
      • ask the employee if they have anything further to say or to be taken into account
    2. 6.11.2 The manager conducting and hearing the case will be able to question all those involved. They will consider all representations before deciding if the concerns are well founded and if so what outcome, including and up to dismissal is appropriate.
    3. 6.11.3 Adjournment - Before a decision is taken adjourning allows the manager time for reflection and proper consideration of the available evidence and facts of the case. If new facts have emerged or there is any dispute over facts, it may be necessary to adjourn the hearing in order to investigate them and reconvene the hearing at a later date when this has been completed. Any new evidence must be shared with both parties prior to the reconvened hearing.
    4. 6.11.4 Hearing Outcome - If the hearing highlights that the employee has provided an adequate explanation or the evidence does not support the manager's concerns, then the manager should advise the employee that there is no case to answer and bring the proceedings to a close.
    5. 6.11.5 If the manager concludes that the concerns are well founded they can determine an appropriate outcome as detailed in paragraph 4.6 of the procedure.
    6. 6.11.6 The decision may be given verbally at the hearing and will in any case be conveyed or confirmed in writing within five working days of the hearing. Where it is not possible to give a decision at the hearing the employee will be advised of the reason for delay.
    7. 6.11.7 The correspondence shall also notify the individual employee of their right to appeal against any sanction. In the event that the decision is taken to dismiss the employee, the correspondence will include the reasons for dismissal and the date that their employment will terminate, together with details of any notice arrangements.

    • 7. Appeals

    1. 7.1 Preparation
      1. 7.1.1 The employee can appeal against the outcome of any formal stage under this procedure and must submit in writing their grounds for appeal to the Director of HR within ten days of receiving the writing decision.
      2. 7.1.2 Appeals will normally be heard within thirty working days of the notice of appeal.
      3. 7.1.3 Appeals can be made on the following grounds:
        • The procedure was unfair, and/or the correct procedure was not followed.
        • The decision was unfair or perverse because the evidence did not support the decision
        • The action taken against the employee was too severe
        • There is new evidence that was not available at the original hearing to support the employees case
      4. 7.1.4 HR will notify the parties (i.e., the employee concerned and the person who is to present the management case) involved of the date of the appeal hearing a minimum of ten days prior to the meeting.
      5. 7.1.5 The parties will send to HR the names of any witnesses and an explanation of why their evidence is required together with any written submissions they wish to have considered and a copy of any documentary evidence they intend to rely on at the hearing. They will do so as soon as reasonably practicable and not less than five working days before the date set for the hearing to allow for an exchange of documents between the parties.
      6. 7.1.6 On the basis of the information submitted, the Appeal Officer will determine whether or not such witness evidence is required and will confirm the witnesses to be called. The Appeals Officer may request additional witnesses but as s/he will only be able to consider this shortly before the hearing, notification may be given at the hearing.
      7. 7.1.7 Employees are responsible for making arrangements for their witnesses to attend. Where witnesses are employees of the University, appropriate time off will be facilitated.
      8. 7.1.8 HR will send the names of any witnesses to be called and copies of any written submissions and documentary evidence to all parties as soon as these have been exchanged.
      9. 7.1.9 If the appeal is against a warning, sanction or action less than dismissal, the appeal will be heard by an appeal officer. If the appeal is against a decision to dismiss, the appeal will be heard by an appeal panel of three senior managers.
      10. 7.1.10 The appeal officer will have the authority to reach the following conclusions or to make other recommendations:
        • Confirm the outcome and decision of the original meeting/hearing
        • Uphold the appeal of the employee if the evidence does not support the outcome of the original meeting/hearing or if the conduct of the procedure has been unfair
        • Apply a lesser sanction than that originally imposed
        • Adjourn the appeal due to significant new evidence which requires further investigation and consideration
        • Recommend a rehearing, in consultation with HR, as a result of significant new evidence put forward during the appeal hearing
      11. 7.1.11 The outcome of the appeal will be final and there will be no further internal right of appeal. Any dismissal under this procedure will remain in force pending the outcome of any appeal.
    2. 7.2 Conduct of Appeal Hearing
      1. 7.2.1 The purpose of the appeal hearing is to establish it the outcome of the capability procedure was appropriate and procedurally correct.
      2. 7.2.2 Requests for adjournments may be made by any party.
      3. 7.2.3 If a witness is called by any party to the appeal s/he will be invited to attend the hearing at an appropriate time.
    3. 7.3 Appeal procedure
      1. 7.3.1 The appeal officer will open the hearing with introductions and explain:
        • those present and their roles
        • the purpose of the meeting which is to consider the employees case for appeal against the University's procedure
        • how the meeting will be conducted
        • the possible outcomes of the hearing
      2. 7.3.2 The employee or their representative will first present, stating their case for appeal and any evidence in support of the case. Witnesses may be called and questioned by the employee and the other parties to the appeal.
      3. 7.3.3 The manager presenting the University case and his/her advisor will present the reasons why the original decision was taken and call any witnesses. Questions may be put to the presenting manager and any witnesses as above.
      4. 7.3.4 The manager presenting the University case will make a final submission and then the employee will make their final submission.
      5. 7.3.5 If new facts have emerged or there is any dispute over facts, it may be necessary to adjourn the appeal hearing in order to investigate them and reconvene the hearing at a later date when this has been completed. Any new evidence must be shared with both parties prior to the reconvened hearing.
      6. 7.3.6 When the appeal officer has all the relevant evidence they will consider their decision after those presenting have withdrawn. This adjournment before a decision is taken allows the appeal officer time for reflection and proper consideration of the case for appeal and any additional evidence that has been presented.
      7. 7.3.7 The decision of the appeal officer may be conveyed verbally to the employee after a period of adjournment unless the appeal officer requires more time for reflection and consideration. The decisions will be conveyed (or confirmed) in writing within ten working days of the hearing. The correspondence will contain the reasons for the appeal officers decision as to whether the employees appeal is upheld.

    These guidelines must be read in conjunction with the capability procedure. Reference should be made to HR if there are any further queries.

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    • Last reviewed: 2 May 2011