Appeals Procedure

APPEALS PROCEDURE

As an employee of the Council, there may be occasions where a formal decision is required to be taken about your employment. Where this occurs, formal policies and procedures will be followed to ensure a fair process is applied. It is essential that any actions or decisions made are based on facts and evidence provided as part of that process.

There may, however, be times where an employee is unhappy with the decision made or action taken. Where this occurs they have the right to appeal against that decision. The purpose of the Appeals Procedure is to outline the process which will be followed when exercising the right of appeal.

Right of Appeal

The right of appeal will usually apply where decisions are taken regarding the outcome of a disciplinary or capability hearing, formal grievance or redundancy selection. In all cases, the appeals process will be the same and further advice relating to each specific procedure can be found in the following policies:

• Disciplinary Policy, Rules and Procedure
• Grievance Procedure
• Capability Policy
• Organisational Change and Redundancy Policy
• Sickness Absence Policy

The main areas are likely to be:

• If an employee wishes to contest the finding and/or penalty of a former hearing;
• If new evidence that was not available at a former hearing becomes available;
• If an alleged lack of fairness or defect in an original hearing is claimed;
• If an employee is not satisfied by the findings of a formal Grievance; and
• If an employee is aggrieved about a decision to terminate their employment.

Time Frame

Where an employee would like to exercise their right of appeal against a decision made by the Council, they should submit their appeal in writing to their Head of Department. This must be received within 10 working days from the date of the written confirmation of the decision made. They should state clearly and concisely the grounds on which they are appealing, detailing the reasons supporting this.

Appeals lodged will be heard without unreasonable delay, and employees will be notified by their Head of Department of the date and time of their Appeal Hearing as soon as is reasonably practicable (a model letter can be found at Appendix B). In any case, employees will have a minimum of 10 working days notice of the date of their Appeal Hearing – this is to allow sufficient time for them to arrange the attendance of representatives and witnesses (where applicable), and prepare their background papers.

Appeal Panel

Any formal appeals lodged will be heard by an Appeal Panel. The Panel will consist of the employees Head of Department (unless they have been involved in any part of the basis of the appeal), a representative from Human Resources, and an independent manager. In order for the appeal to be heard impartially, it may be necessary for alternative panel members to attend.

In order for the Appeal Panel to be fully converse with the case, the employee must submit full details of their appeal at least 5 working days in advance of the hearing. This allows time for panel members to read any background papers in advance. The employee should provide 4 copies of their appeal case, one for each panel member and a copy for the ‘employer’ – this will be the manager involved in the initial decision being made and who will attend the appeal hearing. All copies should be marked ‘private and confidential’ and sent to the Head of Department for distribution.

Independent Representation

Employees have the right to be accompanied by either a work colleague, or a recognised trade union representative. Where a work colleague is attending, they will be given time from the workplace to attend the Appeal Hearing. If an employee needs to meet with their union representative during working time, consent must be sought from their Head of Department in advance. Employees will not be unreasonably prevented from attending such meetings. In order to for the representative to remain independent from the process, they cannot have been involved in any part of the basis for the appeal. Confirmation of the independent representation attending the Hearing should be provided to the Chair of the Appeal Hearing at least 3 working days prior to the Hearing taking place.

Witnesses

If it is the employee’s intention to produce witnesses at the Appeal Hearing, the Chair of the Hearing must be provided with a list of those witnesses at least 7 working days prior to the Hearing taking place. It is not usual practice for external witnesses to be included in the Council’s processes. However, in the case of exceptional circumstances, where an employee feels such a witness is crucial to their case, prior consent must be sought from the Head of Human Resources.

Appeal Hearing

The process to be followed at an Appeal Hearing can be found at Appendix A. The procedure is designed to ensure a fair hearing, and to provide the employee with sufficient opportunity to explain their case to the Panel for consideration.

The Panel will notify the employee of the outcome of the Hearing as soon as is reasonably practicable. If possible, they will be notified verbally on the same day of the Hearing – if this is not possible, the employee will be notified of the outcome within 3 working days from the date of the Hearing. Written confirmation will be sent by the Chair of the Appeal Panel.

The Appeal Panel’s decision is final.

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PROCEDURE FOR APPEAL HEARINGS

1. Introduction

• The Chairman of the Panel will introduce the parties and explain the process of the Appeal Hearing.
• Any points of order by either party will then be heard and considered.
• Where possible, these points of order, must be dealt with in writing prior to the commencement of the hearing, and therefore this stage should ordinarily be a simple confirmation of any issues that may have arisen.

2. The Opening Statements

• The employee (or their independent representative) should make a brief opening statement summarising their grounds for appeal. Where appropriate, the appellant should provide a list of any witnesses that they intend to call.
• The employer should make a brief statement setting out how they plan to respond. Where appropriate, they should provide a list of any witnesses that they intend to call.

3. The Employees Case

• The employee (or their representative) will present their case in detail.
• On completion of the presentation the Panel may ask questions.
• On completion of questions from the Panel, the Employer will be invited to ask questions.
• The employee may call witnesses.
• The Panel and then the Employer will be given the opportunity to ask questions of witnesses called, after each and every witness has given evidence.

4. The Employers Case

• The employer will now present their response in detail.
• On completion of the presentation the Panel may ask questions.
• On completion of questions from the Panel, the Employee (or their representative) will be invited to ask questions.
• The employer may call witnesses.
• The Panel and then the employee will be given the opportunity to ask questions of witnesses called, after each and every witness has given evidence.

5. Final Statements

The employer will be invited by the Panel to make a final statement, followed by the employee who should always have the last word. No new evidence may be introduced at this point by either party.

6. Consideration of the Case Both sides to the appeal hearing will then withdraw whilst the Panel makes its decision. If it is necessary to recall either party or any witnesses to the hearing in order to clear up any points of uncertainty on the evidence given, both parties will be called.

7. Decision of the Panel The Panel will, if possible, give its decision to the parties immediately after the hearing or, within 3 working days of the conclusion of the hearing. A written decision notice will be issued to both parties within 10 working days of the day of the conclusion of the hearing. The decision of the Appeal Panel is final.

8. General Notes

• The term "Panel" means the independent Appeal Panel of Officers – this will consist of a Chair, Human Resources representative and one other senior manager.
• In exceptional circumstances the Panel Chairman may vary the procedure in the interests of an expeditious, proper and fair hearing. Where this occurs, both parties will be notified of any changes and the reason.
• The Chairman of the Panel may order an adjournment if it appears that the Hearing or Decision stage may become extended.
• The Chairman of the Panel may order an adjournment at any time for further investigations to be undertaken if essential for proper consideration of the appeal.
• References to ‘Employee’ and to ‘Employer’ are deemed to include representatives.
• Representatives can be either a Council recognised trade union official or a work colleague.
• A Panel will consist of at least three Officers who have not had any former involvement in the case in hand.
• Officers serving on panels will have received relevant training or will be suitably experienced.
• Panels shall endeavour to come to a consensus view after careful deliberation of the facts and issues. However, when in the opinion of the Chairman of the Panel the issues have been fully aired and there is a failure to agree, a majority decision will be reached and noted.

9. Procedure for dealing with Points of Order If a point of order is raised, the Chairman will invite the other party to respond to any points of order raised and may ask the advice of the Panel's Advisor. The Panel will confer and the Chairman will advise both parties of the ruling together with reasons for such ruling. (Where appropriate, the Chairman may ask the two parties to withdraw whilst the Panel are deliberating any points of order).