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Appeals Rules 2014

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Appeals Statute 2014
The Vice-Chancellor of The Australian National University makes these Rules under section 3 of the Appeals Statute 2014.
Dated: 18 December 2014.
Professor Ian Young AO
Part 1     PRELIMINARY  2
1          Name of Rules and commencement 2
2          Interpretation  2
Part 2     Reviewable decisions  3
3          Meaning of reviewable decision  3
4          Discipline decision  3
5          Academic misconduct decision  3
Part 3     Grounds for review   3
6          Grounds for review   3
Part 4     application for review   3
7          Affected person may lodge an application for review   3
Part 5     Consequences of lodging an appeal  4
8          Appeal by a student whose enrolment has been terminated  4
9          Appeal by a student who has been excluded or denied access  4
Part 6     Preliminary considerationof applications  4
10        Rejection of invalid applications  4
11        Referral of application to Appeals Committee  4
12        Interim measures make be taken by Vice-Chancellor 4
Part 7     Appointment of appeals Committee  5
13        Appeals Panel 5
14        Appeals Committee  5
Part 8     Consideration by Appeals Committee  5
15        Additional material 5
16        Material to be provided to student 6
17        Notification of hearing  6
18        Decision whether to conduct an oral hearing  6
19        Appeals relating only to penalty  6
20        Hearing procedure  6
21        Student’s rights on appeal 7
22        Non-appearance before Appeals Committee  7
23        Decision by the Appeals Committee  7
24        Student undertakings  8
25        Decision final 8
26        Nominees for Vice-Chancellor and Registrar 8
27        Extension of time  8
28        Notices  8
29        Transitional provision  9
                                                                                              Part 1        PRELIMINARY
1       Name of Rules and commencement
1.1       These Rules are the Appeals Rules 2014.
1.2       These Rules commence on the day after they are registered.
2       Interpretation
2.1       In these Rules, unless the contrary intention appears:
Academic Board means the Board established under the Academic Board Statute;
academic misconduct decision has the meaning given to it in rule 5;
appeal means a review under these Rules;
Appeals Committee means a committee constituted under rule 14;
discipline decision has the meaning given to it in rule 4;
Registrar includes a nominee of the Registrar appointed under subrule 26.2;
reviewable decision has the meaning given to it in rule 3;
Secretary means the person appointed as Secretary under subrule 14.5;
(a)       means any person who is or was enrolled in, or seeking enrolment in, a program or a course offered by the University, or who is or has been given permission by the University to audit a course offered by the University;

(b)       in Part 8, includes a person who is the applicant in relation to an appeal;
Vice-Chancellor includes a nominee of the Vice-Chancellor appointed under subrule 26.1;
working day means a day other than a weekend, public holiday or University holiday.
                                                                                  Part 2        Reviewable decisions
3       Meaning of reviewable decision
3.1       A decision is a reviewable decision under these Rules if it is:
(a)       a discipline decision; or

(b)       an academic misconduct decision.

4       Discipline decision

4.1       A decision is a discipline decision if it is specified to be a reviewable decision in the Discipline Rules.

5       Academic misconduct decision

5.1       A decision is an academic misconduct decision if it specified to be a reviewable decision in the Academic Misconduct Rules.
                                                                                   Part 3        Grounds for review
6       Grounds for review
6.1       An application for review must be on one or more of the following grounds:
(a)       that a procedural irregularity occurred which may have affected the decision-maker’s decision;

(b)       that the decision-maker was biased;

(c)        that the decision was manifestly wrong;

(d)       that the decision was made in a mistaken application of the applicable rules;

(e)       that there is substantial relevant evidence that—
(i)        was not taken into consideration by the decision-maker; and
(ii)       could not have been known to the person and provided to the decision-maker before the decision was made;
(f)        that a penalty imposed on the person was manifestly excessive.
6.2       If an application includes the ground referred to in subrule 6.1(f), the penalty is to be considered to form part of the decision for the purposes of these Rules.
                                                                               Part 4        application for review
7       Affected person may lodge an application for review
7.1       A person may lodge an application for review of a decision if:
(a)       the decision was a reviewable decision affecting the person in his or her capacity as a student; and
(b)       subject to subrule 7.3, the application is made within 20 working days after the person was notified of the decision.
7.2       An application must:
(a)       specify the grounds on which the applicant relies; and

(b)       be lodged with the Registrar.

7.3       An application for review may be made later than is allowed by subrule 7.1(b) if the time limit has been extended under rule 27.
                                                               Part 5        Consequences of lodging an appeal
8       Appeal by a student whose enrolment has been suspended
8.1       The termination of a student’s enrolment does not take effect until any application for review in respect of the relevant decision or penalty has been concluded.
9       Appeal by a student who has been excluded or denied access
9.1       The exclusion of a student, or denial of access to facilities or premises or activities of the University under the Academic Misconduct Rules or the Discipline Rules , continues to have effect notwithstanding that an application for review of the relevant decision or penalty is lodged.
                                                      Part 6        Preliminary considerationof applications
10     Rejection of invalid applications
10.1     The Registrar may reject an application for review if it appears that:
(a)       the application does not relate to a reviewable decision;

(b)       the application does not set out one or more grounds specified in these Rules;

(c)        the application has not been within the time required by these rules, and the Registrar has not decided to extend time under rule 27.
10.2     The Registrar must not reject an application under this rule unless he or she has provided the person with opportunity to make a submission in writing in relation to the proposed decision.
10.3     If the Registrar rejects an application under this rule, the Registrar must, as soon as is practical, provide notification of that determination, with reasons to:

(a)       the applicant;

(b)       the relevant decision-maker.

11     Referral of application to Appeals Committee
11.1     Subject to rule 10, the Registrar must, if he or she determines that a decision is a reviewable decision, refer the application for review to the Appeals Committee.
12     Interim measures may be taken by Vice Chancellor

12.1     If an application for review is made by a student whose candidature or enrolment in a program of study or course has been terminated by reason of the decision which is the subject of the appeal, the Vice-Chancellor may direct that the student be permitted to continue to undertake that program of study or course pending the determination of the appeal.
                                                                Part 7        Appointment of appeals Committee
13     Appeals Panel
13.1     There is to be an Appeals Panel appointed by the Academic Board.
13.2     The Appeals Panel is to be comprised of not fewer than two persons in each of the following categories:
(a)       persons appointed after consultation with the President of the Australian National University Students’ Association Inc.;
(b)       persons appointed after consultation with the President of the Australian National University Postgraduate and Research Students’ Association Inc.;
(c)        persons who have knowledge or experience of the teaching, research or visual and performing arts functions of the University.
13.3     Subject to rule 13.4, a member of the Appeals Panel:
(a)       holds the position for 2 years and is eligible for reappointment;

(b)       may resign his or her membership at any time by writing to the Vice-Chancellor.
13.4     If a student who has been appointed under subrule 13.2(a) or 13.2(b) ceases to be a student, he or she ceases to be a member of the Appeals Panel.
14     Appeals Committee

14.1    The Vice-Chancellor must appoint an Appeals Committee if an application for review has been received (unless the application has been rejected by the Registrar under rule 10).
14.2     An Appeals Committee must include at least 4 members of the Appeals Panel, including:

(a)       one student member from the appropriate category;

(b)       three members appointed to the Appeals Panel under subrule 13.2(c).
14.3     A person appointed to an Appeals Committee must not be the original decision maker.
14.4     The Vice-Chancellor must appoint a person, not being a student, to be the Chair of an Appeals Committee.
14.5     The Vice-Chancellor must appoint a person (not being a member of the Appeals Committee) to be the Secretary to the Appeals Committee.
14.6     The Vice-Chancellor may appoint a person (not being a member of the Appeals Committee) to assist the Appeals Committee in the hearing of an appeal.
14.7     An Appeals Committee appointed to consider an application relating to an academic misconduct decision must include a person from the relevant, or, where this is not possible, a related academic discipline.
14.8     The quorum for a meeting of an Appeals Committee (including a hearing) is 3 members, including the Chair.
                                                              Part 8        Consideration by Appeals Committee
15     Additional material
15.1     If material is made available to the Appeals Committee which was not before the decision maker, the Appeals Committee may assess additional material provided in a summary way on the papers without conducting a hearing.
15.2     If, on review of the material, the Appeals Committee considers the information to be cogent, relevant or substantial it may refer the decision back to the original decision maker to remake the decision.
15.3     A decision remade following reference back under this rule:
(a)       stands in place of the original decision;

(b)       may be the subject of an application under these rules.

16     Material to be provided to student
16.1     The Secretary to an Appeals Committee must provide the student with a copy of the substantive material upon which the Appeals Committee intends to rely not less than 5 working days before the day on which the appeal is to be heard.
17     Notification of hearing
17.1     Before the Appeals Committee hears an appeal and if the student so wishes, the student may advise the President of the relevant Students’ Association of the hearing.
17.2     The Appeals Committee must:
(a)       fix a date, time and place for the hearing of an appeal; and

(b)       give not less than 5 working days’ notice of the hearing to the student.

18     Decision whether to conduct an oral hearing
18.1     An appeal may be determined with or without an oral hearing.
18.2     In deciding whether an appeal is to be determined with or without an oral hearing, an Appeals Committee may take into consideration:
(a)       whether the parties are able to participate in an oral hearing within a reasonable time;

(b)       whether an oral hearing would unnecessarily subject a party or a witness to stress; and

(c)        any other relevant factor.
18.3     The Chair of an Appeals Committee must decide how the appeal is to be conducted.
19     Appeals relating only to penalty
19.1     At an appeal in relation to penalty, the Appeals Committee must consider only the question of penalty.
20     Hearing procedure
20.1     At the hearing of an appeal:
(a)       the procedure to be followed is at the discretion of the Appeals Committee; and

(b)       the Appeals Committee:
(i)        may inform itself on any matter in relation to an appeal in any manner it thinks appropriate;
(ii)       is bound by the rules of procedural fairness but is not bound by rules of evidence;
(iii)      must take into consideration any submission made by the student or the Vice Chancellor.
20.2     The hearing of evidence by the Appeals Committee may be adjourned from time to time and from place to place.
20.3     Unless the Appeals Committee otherwise directs, a person is not entitled to be present at the hearing of an appeal unless the person is:
(a)       a member of the Appeals Committee; or

(b)       the student or the person nominated by the student under subrule 21.2; or

(c)        the Secretary to the Appeals Committee; or

(d)       a person giving evidence before the Appeals Committee; or

(e)       a person appointed under rule 14 in relation to the Appeals Committee.
20.4     An appeal hearing under these Rules is not ineffective by reason only of a formal defect or irregularity in the convening or conduct of the Appeals Committee.
21     Student’s rights on appeal
21.1     At the hearing of an appeal before the Appeals Committee, a student may:
(a)       appear in person;

(b)       call and question witnesses; and
(c)        make oral or written statements.
21.2     At the hearing of an appeal, the student may be accompanied by another person who may:

(a)       observe the proceedings;

(b)       with the express approval of the Appeals Committee, act as an advocate for the student.

22     Non-appearance before Appeals Committee
22.1     This rule applies to an appeal by a student where the student:
(a)       does not appear in person at the hearing of the appeal; and

(b)       is not otherwise represented at the hearing of the appeal; and

(c)        does not make a written statement under subrule 21.1(c).
22.2     If this rule applies to an application, the original decision of the decision maker takes effect immediately after the conclusion of the hearing.
23     Decision by the Appeals Committee
23.1     After considering an appeal, the Appeals Committee may:
(a)       affirm the decision of the decision-maker;
(b)       vary the decision;
(c)        set aside the decision and make a fresh decision in substitution for the decision set aside; or

(d)       set aside the decision.
23.2     When making a decision the Appeals Committee may:
(a)       accept an undertaking from the student;
(b)       include recommendations arising from the consideration of the appeal, including recommendations for:
(i)        counselling;
(ii)       intervention;
(iii)      corrective or other measures that should be taken.
23.3     If the Appeals Committee varies a decision under subrule 23.1(b) or substitutes a fresh decision under rule 23.1(c), the decision so varied or substituted must be a decision that the original decision-maker could have made.
23.4     The decision of the Appeals Committee and the reasons for the decision must be given in writing to the student and the Vice-Chancellor by the Secretary to the Appeals Committee within 5 working days after the decision.
24     Student undertakings
24.1     If the Appeals Committee accepts a student’s undertaking under subrule 23.2(a):
(a)       the Appeals Committee must ensure that a written copy of the undertaking is provided to the student and the Registrar;

(b)       if the student fails to comply with the undertaking, an Appeals Committee may exercise any power conferred by subrule 23.1, taking into account (where appropriate) the failure to comply with the undertaking and the reasons for that failure.

25     Decision final
25.1     The decision of an Appeals Committee is final.
                                                                                           Part 9        MISCELLANEOUS
26     Nominees for Vice-Chancellor and Registrar
26.1     The Vice-Chancellor may appoint, in writing, a nominee to exercise the powers and perform the functions of the Vice-Chancellor under these Rules.
26.2     The Registrar may appoint, in writing, a nominee to exercise the powers and perform the functions of the Registrar under these Rules.
27     Extension of time
27.1     The Registrar may extend a time limit under these Rules.
27.2     In deciding whether to extend a time limit, the Registrar must take into consideration:
(a)       the reason why an extension is sought;

(b)       the period of extension;

(c)        the prejudice, if any, which will be caused by the granting of the extension.
27.3     An extension must be for no longer than is reasonably necessary.
27.4     The power to extend a time limit may be exercised notwithstanding that the time limit has expired.
28     Notices
28.1     For the purposes of these Rules, a notice or communication that is delivered by hand or otherwise sent by email or post to a student in accordance with section 9 of the Interpretation Statute, is regarded as having been given to the student on the date on which the notice was delivered by hand or, if sent by email or post, on the date that it would, in the ordinary course of email or post, have been delivered to the student.
29     Transitional provision
29.1     These rules apply in relation to a decision which is notified to a student on or after the day on which these rules come into operation.