Job Families Allocation Appeal Process
Contents
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
12.
13.
14.
15.
16.
17.
18.
19.
20.
21.
Policy Statement ................................................................................................. 1
Scope .................................................................................................................. 2
Time Limits .......................................................................................................... 2
Panel Requirements ............................................................................................ 3
Grounds for Appeal ............................................................................................. 3
Comparators........................................................................................................ 3
Right to Representation....................................................................................... 3
Access to Information .......................................................................................... 4
Grouping Appeals................................................................................................ 4
Outcome of Appeal.............................................................................................. 4
Priority of Appeal Meetings and Hearings ........................................................... 5
The Appeal Process ............................................................................................ 5
Stage One Procedure.......................................................................................... 5
Submission of Documents for the Stage One Appeal Meeting............................ 6
Stage One Appeal Meeting ................................................................................. 6
Possible Outcomes of the Stage One Appeal ..................................................... 7
Stage Two Procedure.......................................................................................... 8
Stage Two Appeal Meeting ................................................................................. 9
Stage Two Appeal Panel Procedure ................................................................... 9
Possible Outcomes of the Stage Two Appeal ....................................................10
Monitoring...........................................................................................................10
1. Policy Statement
1.1.
The Single Status pay and grading structure will be in place from 1st April
2014 and will apply to employees who are covered by the NJC for Local
Government Services (Green Book) conditions of service. This procedure
has been developed with the trade unions and applies only in relation to
appeals arising from the job allocation process and its initial application to the
new pay and grading scheme. Re-grading appeals will be dealt with under
the Re-grading Policy.
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1.2.
The Council has ensured that the work undertaken to achieve Single Status
through the Pay and Grading Project has been objective and fair, but it
recognises that staff may have concerns about the allocation of their post.
This process will reflect the underpinning principles of the Single Status pay
and grading structure in that it aims to provide a consistent, transparent and
equitable process.
1.3.
Employees must remember that the allocation is for the post and not for the
individual performing that role. It is the requirements of the post which were
taken into account during the allocation process.
1.4.
The purpose of an appeal is to resolve disputes and is an opportunity to
identify where there may have been a genuine error of job information or
allocation.
1.5.
This procedure aims to resolve as many concerns as possible outside the
formal appeal process through an informal route. Staff will be expected to,
and must, exhaust the informal process before entering the formal process.
1.6.
Members of staff will not be permitted to use the Grievance Procedure to
challenge any outcome resulting from the implementation of Single Status,
where due process has been followed.
2. Scope
2.1.
All employees whose posts have been included in the Single Status process
will have the right to request an appeal of their allocation.
2.2.
The process is available to all employees in post prior to 1st April 2014.
2.3.
This process does not apply to employees covered by the Teachers,
Soulbury and JNC for Chief Officers terms and conditions.
2.4.
A separate re-grading process applies for appealing grades owing to a
substantial change in duties but that process cannot be used for a request for
an appeal against an initial allocation or within 3 months of the
implementation date.
3. Time Limits
3.1.
In order to achieve finality, it is necessary to impose a strict time limit for staff
to lodge appeal requests.
3.2.
All requests for an informal appeal must therefore be submitted within three
months from the date of implementation.
3.3.
Should there be a substantial number of appeals it may not be possible to
fully meet the agreed timescales. If the process is delayed by sickness
absence, annual leave, or for some other significant factor, timescales can
be adjusted with the mutual agreement of those involved.
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4. Panel Requirements
4.1.
All panel members, including any technical advisers, will be trained in the
scheme and its application, and in the avoidance of gender bias.
5. Grounds for Appeal
5.1.
The right to request an appeal is limited to a concern with the allocation and
not the new terms and conditions of employment or any objection to the Job
Family Allocation process which includes the Pay Modelling process.
5.2.
Employees cannot request an appeal solely on the basis that they have
suffered a reduction in salary, against the new grade or against the point of
assimilation on the new pay structure.
5.3.
There are 3 permissible grounds for appeal and these are as follows:

The allocated job family may not accurately reflect the nature of the work;

The allocated role profile may not adequately reflect the job, or, elements
of the job have not been considered. (This covers the factor scores);

The factors awarded for the job working circumstances may not adequately
reflect the job working conditions for the job.
6. Comparators
6.1.
An employee can list an internal comparator as part of their submission to
support any of the above grounds for appeal. If a comparator is to be used,
the employee will need to provide the post holders name and job title of their
chosen comparator. Such information can be obtained upon request from
the Authority.
6.2.
For the purposes of the appeal process a comparator must be an employee
of the City & County of Swansea whose job has been included in the pay and
grading review. It must be someone who the appellant believes is
undertaking the same or broadly similar level of work.
6.3.
It is the responsibility of the appellant to gather and provide evidence about
their comparator to support their case.
6.4.
In order to maintain the integrity of the Job Evaluation scheme a
comparator’s allocation may be amended depending on the outcome of the
appeal.
7. Right to Representation
7.1.
Throughout the appeal procedure, individual employees have the right to be
represented by a Trade Union Representative from their recognised Trade
Union or an employee of the City & County of Swansea.
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7.2.
It is an employee’s responsibility to identify and invite their representative to
the meeting. On the basis that the Council will need to progress appeals in a
timely manner, appeal hearings will not normally be postponed or deferred
due to the non availability of the employees preferred representative as there
may be another companion available to attend. Staff will need to ensure
therefore that their nominated representative is available to attend.
7.3.
It is recommended that the employees representative has been trained in the
Job Families Approach, a number of Trade Union Representatives are fully
trained in the scheme.
8. Access to Information
8.1.
Relevant information relating to an individual’s allocation will be included in
their appeal notification letter. The Council will also make information
available to employees which will explain the process used. The aim is to
provide the employee with sufficient information to enable them to see how
their job has been allocated.
9. Grouping Appeals
9.1.
When appeals are received it is highly likely that there will be appeals from a
number of individuals which relate to the same position or allocation result.
9.2.
Where a collective request for an appeal has been made, or more than one
individual request has been made relating to the same post, management in
consultation with the trade unions may consider the appeal as a group
appeal at this stage.
9.3.
Appellants will only be grouped where they are considered to be doing the
same job. This is not the same as previous ‘grouping’ exercises for the initial
allocations.
9.4.
In order to maintain the integrity of the Job Evaluation scheme, the result of
any grouped appeal will apply to all postholders that have been grouped and
are considered to be undertaking the same role, regardless of whether or not
they submitted an appeal.
9.5.
The grouped appeal will follow the standard appeals process with additional
attendees being catered for as appropriate and agreed.
10. Outcome of Appeal
10.1.
It is important for staff to appreciate the possible consequences of an appeal.
10.2.
A change of job family, role profile or job working circumstances factor on
appeal will not necessarily result in a change to the grade or the salary paid.
10.3.
In order to maintain the integrity of the Job Evaluation scheme, the result of
any appeal will apply to all postholders that are considered to be undertaking
the same role, regardless of whether or not they submitted an appeal.
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10.4.
An appeal may result in an increase, decrease, or no change in the grade of
job. Any increase will be backdated to April 2010 or the date the duties
changed.
11. Priority of Appeal Meetings and Hearings
11.1.
Where possible, appeals will be heard in the following order of priority:

Individuals and or groups of staff allocated to the same role profile whose
pay has reduced

Individuals and or groups of staff allocated to the same role profile whose
pay has not changed

Individuals and or groups of staff allocated to the same role profile whose
pay has increased
12. The Appeal Process
12.1.
The procedure has two stages:

Stage 1: Informal Appeal Meeting

Stage 2: Formal Appeal Meeting
12.2.
12.3.
Staff will bear in mind that the informal process will aim to resolve the
majority of concerns because it will allow for:

Obvious errors of allocation to be corrected immediately.

Staff concerns arising from lack of understanding or misunderstanding of
the scheme or outcome to be resolved through provision of the required
information without resort to a formal process.

Advice to be provided on the scope for appeal, which may assist the
potential appellant to decide whether it is worthwhile going through the
formal procedure
The informal procedure will not preclude an employee from going through the
formal process but the main aim is to reduce the number of formal appeals.
13. Stage One Procedure
13.1.
This is the first stage of the appeal process and is an opportunity for anyone
concerned with the results of the job allocation process to seek clarification
and possibly resolution of individual concerns.
13.2.
The employee or group of employees must submit a completed Stage 1
Appeal Request form to the Pay and Grading Team as soon as possible
following implementation and no later than three months from the date of
implementation.
13.3.
Where there is more than one post holder they may submit a collective
request. If a collective request is received, or more than one individual
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request is received for the same post, management in consultation with the
trade unions may deal with this as a group at this stage. This will be the
normal approach in most cases.
13.4.
The Pay and Grading Team will check that the required information has been
set out in the form. Where the required information has been provided, the
Pay and Grading Team will confirm receipt of the request in writing within
three weeks of receiving the Stage 1 Appeal Request Form.
13.5.
Where the required information has not been provided, the request will be
returned to the staff member by the Pay and Grading Team with an
explanation of the reasons for rejection of the request.
13.6.
No applications for an appeal will be entertained after the nominated closing
date unless there are exceptional circumstances.
13.7.
Every endeavour will be made to arrange a Stage 1 Appeal meeting within
eight weeks of the final date for receipt of all Appeal Request Forms.
14. Submission of Documents for the Stage One Appeal Meeting
14.1.
14.2.
Those attending the meeting should receive all relevant paperwork 20
working days in advance of the meeting comprising:

Job Description – where one was available at allocation

Person Specification- where one was available at allocation

The current allocation record showing the Job Family, Role Profile and Job
Working Circumstances factors

The current Role Profile

Details of how to access the Allocation Toolkit

Details of the comparators cited allocation

A copy of the submitted stage 1 Appeal Request Form
The employee should supply any evidence/documentation they intend to
refer to and a list of any witnesses they intend calling to the Pay & Grading
team at least 10 working days in advance of the meeting. The Pay and
Grading Team will arrange the meeting and distribute the documentation.
15. Stage One Appeal Meeting
Membership of Panels
15.1.
The employer side at Stage 1 will consist of the manager or the Headteacher
who was ideally involved in the final allocation of the post. Where this
manager is not available, a management representative will attend. This
manager must be familiar with the post, the allocation, and have received
training in the allocation process and equality issues. Also present will be a
Pay & Grading Officer or nominated trained representative.
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15.2.
The employee side at Stage 1 will consist of the appellant (or lead appellant
in group appeals) who may be accompanied by a recognised Trade Union
representative or a fellow employee. Whilst the appellant is unlikely to be
trained in the allocation process, it is advised that the representative is. In a
group appeal, where more than one Trade Union is in representation, one
representative from each recognised Trade Union may attend, or one fellow
employee.
15.3.
A manager from the appellants’ area of work may also attend to give
information about the post to the meeting.
15.4.
A record will be kept of the informal meeting by the employer side.
15.5.
The appellant and their representative/s will then make representations as to
why and how they believe the post satisfies the criteria for the grounds for
appeal.
15.6.
The managers, or their representative, will explain to the employee how the
post was allocated to the job family and role profile, how the job working
circumstances score was arrived at and any local conventions. The
employee(s) and representative(s) will be able to ask questions to aid their
understanding.
15.7.
The employer side will consider the evidence, together with any further
relevant information regarding the appeal and will discuss with the appellant
any aspects of the appeal. An adjournment may be made if it is felt that
more information needs to be gathered.
15.8.
The appellant/s, representative/s and any supporting manager will withdraw.
The manager who was involved in the allocation, together with the Pay &
Grading Officer, will advise whether any further action is required.
15.9.
Human Resources will confirm in writing, to all job holders named on the
Stage One Appeal application form, the outcome of the meeting within two
weeks of the meeting date. This will provide reasons for the decision and will
also refer to the option for the employee to pursue the appeal to a Stage 2
formal hearing.
15.10. In order to maintain the integrity of the Job Evaluation scheme, following the
Stage 1 appeal Human Resources will consider whether the outcome has
implications for other roles.
15.11. The recognised Trade Unions will be kept informed of these decisions.
16. Possible Outcomes of the Stage One Appeal
16.1.
The outcome may be:
a)
The Panel decide the original outcome stands.
b)
The Panel decide the allocation and / or the Job Working Circumstance
factors require amending and re-allocate accordingly.
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c)
16.2.
Some issues, which may or may not affect the allocation, are resolved.
All Appellants must complete the full Stage One hearing process prior to
submitting a request for a Stage Two hearing. Any postholder who has
completed the Stage One process has the right to submit a Stage Two
appeal request.
17. Stage Two Procedure
17.1.
This formal procedure is the final stage in this process and the decision of
the Panel is final.
17.2.
If the employee or group of employees wish to pursue an appeal to Stage 2
they must complete the Stage 2 Appeal Request Form and submit it to the
Pay and Grading Team within 4 weeks of the date of the letter notifying them
of the outcome of the Stage 1 Appeal Meeting.
17.3.
The Pay and Grading Team will check that the required information has been
set out in the form. Where the required information has been provided, the
Pay and Grading Team will confirm receipt of the request in writing.
17.4.
Where the required information has not been provided, the request will be
returned to the staff member by the Pay and Grading Team with an
explanation of the reasons for rejection of the request. It is the responsibility
of the appellant to return the form within a further four weeks. A failure to do
so will result in the appeal being dismissed.
17.5.
A stage 2 hearing will normally be arranged within 12 weeks of receipt of the
Appeal Request Form, but this will depend on the volume of appeals
received and available resources.
17.6.
If an appellant’s appeal is not arranged within the specified period then a
letter will be issued updating them on the situation.
17.7.
Both sides should supply any evidence/documentation they intend to refer to
and a list of any witnesses they intend calling. The Pay and Grading Team
will arrange the meeting and distribute the documentation. However it is the
responsibility of appellants to arrange attendance at the meeting of witnesses
they wish to call.
17.8.
Managers will allow those colleagues attending the appeal hearing to provide
supporting evidence reasonable time off to do so.
17.9.
Submission of Documents for the Stage Two Appeal Meeting
17.10. The appellant and management side attending the meeting should receive all
relevant paperwork 10 working days in advance of the meeting comprising:

Record of the Stage One meeting

Job Description – where one was available at allocation

Person Specification – where one was available at allocation
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
The current allocation record showing the Job Family, Role Profile and Job
Working Circumstances factors

The current Role Profile

Details of how to access the Allocation Toolkit

Details of the comparators cited allocation

A copy of the submitted Stage 1 Appeal Request Form.

A list of witnesses (if applicable)
18. Stage Two Appeal Meeting
Membership of Panels
18.1.
At this stage an independent panel will be convened to hear submissions
from both the employee and the Stage 1 responding manager. The panel will
comprise of an independent officer, two independent Trade Union
representatives and a Pay & Grading Officer, or HR representative. Ideally
these will be independent of previous allocations and the appellant.
18.2.
The following people will be invited to the Stage Two Appeal Meeting:




The Stage 1 Head of Service, or their nominee who was involved in the
informal appeal meeting;
The employee (or lead employee of a group appeal).
In a group appeal, where more than one Trade Union is in representation,
one representative from each recognised Trade Union may attend, or one
fellow employee..
If an employee is not represented by a recognised Trade Union, they have
the right to nominate a work colleague to accompany them.
19. Stage Two Appeal Panel Procedure
19.1.
A record will be kept of the Stage 2 meeting by the employer side.
19.2.
The Chairperson (Independent Officer or TU Representative as appropriate)
should introduce those present, explain that the purpose of the meeting is to
consider an appeal against the allocation of the job to a job family, role profile
or Job Working Circumstance factors and outline how the hearing will be
conducted.
19.3.
The appellant and/or the Stage 1 Manager may call witnesses to attend the
hearing during the formal stage.
19.4.
The appellant, or their Representative, shall state the grounds for appeal and
outline their case by taking the Panel through the evidence which they have
gathered, providing that this has been forwarded to the Pay & Grading prior
to the meeting (10 working days prior).
19.5.
The panel members and the Stage 1 Appealing Manager will be given the
opportunity to ask questions at the end of the employee’s evidence to clarify
specific issues.
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19.6.
The Stage 1 Appealing Manager will present the Panel with the reasoning for
the Stage 1 outcome and may be asked questions by the member of staff,
their representative and the Panel.
Summing Up
19.7.
The Appellant(s) or their Representative and the Stage 1 Appealing Manager
shall have the opportunity to sum-up if they wish but no new material may be
introduced.
Adjournment
19.8.
The Chairperson will then adjourn the meeting. The panel remain to establish
whether they have sufficient information on which to make a determination.
Reconvening, Questioning and Clarification
19.9.
All parties will be recalled.
19.10. The Panel members may use this stage to clarify any issues and to check
that what has been said is understood. Where either party is asked to clarify
any point, the other party must also be given the opportunity to comment.
19.11. Where clarification of information is received, the chairperson may call a
further adjournment in order that the panel can reach a decision.
19.12. The Chairperson will recall all parties and close the hearing and inform the
appellant that the outcome will be forwarded in due course.
20. Possible Outcomes of the Stage Two Appeal
20.1.
Appellants and managers should realise that the final outcome of the appeal
process may result in the grading being increased, remaining unchanged or
being reduced with effect from the implementation. Any increase will be
backdated to the date of implementation i.e. April 2010 or date the duties
changed.
20.2.
The decision of the Stage 2 appeal panel is final with no further route or right
of appeal.
20.3.
The outcome may be:
a) The Panel decide the original outcome stands;
b) The Panel decide the allocation and / or the Job Working Circumstance
factors require amending.
21. Monitoring
21.1.
The outcome of all appeal hearings will be reported to the Head of Human
Resources & Organisational Development for action where necessary and
for monitoring purposes.
21.2.
Appeals will be monitored in terms of gender / sex, race, disability, age
sexual orientation, welsh language, and religion or belief. Papers relating to
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the appeal hearings will be kept on file for the prescribed period and future
reference
Version
Number
Details of Change
Date
1.0
Introduction of Single Status
01/04/2014
1.1
Update Stage 2 Panel Membership
01/10/2014
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