Personnel Committee 28/03/11
-Revised Process
E5: Framework Employment Appeals Process
1. Introduction
The guiding principle of any appeals process must be to ensure both fairness and effectiveness. This
framework appeals process covers cases which come to appeal through disciplinary, grievance and
redundancy procedures.
2. Responsibilities
Where a member Appeals Committee is convened it will comprise of not more than 5 Elected Members
with a quorum of 3.
A list of officers designated to chair and hear appeals under the County Council’s constitution has been
identified by departments and these individuals will be appropriately trained.
It is intended that it will be a requirement within relevant officer's job description to undertake the role,
working cross departmentally. Competencies to reflect this will be developed for all relevant posts.
2.1. Disciplinary Appeals
Appeals against other outcomes of disciplinary hearings will be heard by a hierarchy of appellate bodies
as follows:
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First formal warning - to be heard by a nominated officer at the appropriate level.
Second or subsequent formal warning - to be heard by a senior nominated officer at the
appropriate level.
Final warning - to be heard by a senior nominated officer at the appropriate level.
Dismissal on the grounds of conduct or capability - to be heard by a Member panel of the
Appeals Committee N.B. this covers the disciplinary, attendance management and capability
procedures.
2.2. Grievance Appeals
Delete first sentence. The Grievance Procedure makes provision for informal mediation to ensure that
as many grievances as possible are resolved outside formal procedures. Appeals under the Grievance
Procedure will be heard at all levels by a senior nominated officer at the appropriate level.
2.3 Appeals against dismissal on grounds of redundancy
Appeals against dismissal for reason of redundancy will be heard by a Member panel of the Appeals
Committee.
3. HR Support
In all cases involving disciplinary appeals against dismissal the need for, firstly, consistency of approach
across the Authority and, secondly, proper appreciation of procedural and employment law
considerations, require the appeal’s body to receive mandatory HR advice.
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For all other appeals advice at the hearing should be available from the HR Team for the relevant
department. However, where previous involvement necessitates, independent advice from another
HR Team will be provided.
If a departmental head has been personally involved in the decision against which appeal is made, the
appeal would have to be to an ‘independent’ nominee.
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3. Criteria
3.1. Pro-Forma
It will be a requirement for appellants to complete a standard pro-forma: see Appendix 1 . This will
specify the grounds for appeal (see 3.2 and 3.3 below) and the name of the appellant's trade union
representative, where appropriate.
If there is any doubt about the content of the pro-forma, either in relation to the administrative
arrangements for the appeal and/or the grounds for appeal, the Assistant Chief Executive, Policy,
Planning and Corporate Services and/or the Service Director Human Resources (HR), or their nominee,
will discuss their concerns with the appellants trade union representative (where named), or the
appellant directly (where not).
All appellants will have confirmation of whether their appeal will be allowed within 5 working days of it
being lodged with either the Service Director – HR or Democratic Services. The ground(s) for the appeal
(as set out in 3.2 and 3.3 below) should be confirmed to the department as part of the formal notification
of appeal. Deleted previous sentence.
3.2. Disciplinary Appeals
The grounds for appeal are:
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The decision was unreasonable (see guidance in Appendix 1)
The existence of new relevant evidence that it was not reasonably practicable to present at the
original hearing.
There was a significant failure to follow the relevant policy and/or procedure.
3.3. Grievance Appeals
The essence of a grievance is that an employee has a ‘complaint’ and wants that complaint to be
remedied; the procedure should not be used as a general vehicle for expressing dissatisfaction.
The Grievance Procedure will require an aggrieved employee not only to clearly set out in writing the
grounds of their grievance at the outset, but also to define the desired outcome.
Appeals will be limited to the grounds that due process has not been followed, there is outstanding or
new evidence or the decision is unreasonable. This latter ground will in practice also enable appeal
against an alternative (but unacceptable) remedy proposed during the grievance procedure.
For both disciplinary and grievance appeals, the adoption of these criteria by the County Council will
generally make it unnecessary for an appeal to take the form of a full rehearing of all the evidence.
There may however be some circumstances which merit a full rehearing. Deleted previous sentence.
In addition, where severe procedural irregularities become apparent during the course of a hearing, the
appeals body may take a decision to remit back for a full and independent rehearing.
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3.4. Redundancy appeals
An appeal is limited to the application of the redundancy process on the grounds that the selection for
redundancy was unfair. The appeal process cannot be used to complain about the decision to reduce or
cease work in a particular area.
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4. Timescales
Appeals (and proceedings generally) should not be left unactioned for lengthy periods. In order to
standardise timescales and minimise delay all appeals should:
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Be lodged with the Service Director -HR and Democratic Services within 10 working days of
receipt of written confirmation of formal disciplinary action or outcome of a grievance hearing (
if possible accompanied by case papers)
Provide a minimum of 20 working days notice of a hearing, (unless a shorter time period is
agreed)
Requests for the release of witnesses from work, where they are employees of the County
Council, should ideally be done at least 10 days before the hearing.
Ensure that case papers should be exchanged between appellant and department and in the
case of officer led appeals forwarded to the officer panel, no later than 10 working days before
the hearing.
Papers will be distributed where an Appeals Committee has been convened in accordance with
constitutional requirements.
Deleted sentence – repeated above.
Where exceptional cases prevail, delays must be agreed by the panel Chair or the nominated senior
officer responsible for hearing the appeal, taking into account any compassionate circumstances and
the availability of advice to the appellant.
Out of time issues will be considered at the commencement of a hearing and the appeals body or
nominated senior officer will take a decision as to whether to allow the appeal to proceed. Departments
and appellants should come to such meetings fully prepared for the eventuality that the case could
proceed.
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5. Outcomes
The appeals body or senior nominated officer has the power to dismiss the appeal or to uphold fully or in
part. Where an appeal is upheld in part the appeals body may modify the decision, with due regard for
consistency, or:
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Refer it back for a new hearing
Direct re- instatement (in the case of the Appeals Committee), redeployment or other
appropriate action
The appeals body or senior nominated officer can only alter the severity of the penalty imposed by
disciplinary sanctions in circumstances where:
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the grounds for the appeals are the unreasonable nature of the decision. This includes the
severity of penalty imposed or the perverse nature of the decision, or
severe procedural irregularities have a significant impact on the original decision and this has
warranted a full re-hearing.
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6. Process
Appeals are the final stage of the County Council's internal procedures. It is essential that they have
credibility with staff as well as ensuring that, in the event of a reference to an employment tribunal, the
County Council's interests are protected. Consequently:
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Those hearing appeals (Members or Officers) will be properly trained;
HR advice to appeals bodies should be 'neutral' in the sense that the adviser should not have
previously been involved with the case. This will require HR staff to work across departmental
boundaries;
In order that the whole process of appeals is expedited more effectively:
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The officer presenting the management case at appeal should be either (at the discretion of the
department concerned) the officer who chaired the initial hearing against which appeal is made
or the HR officer who advised at the hearing.
Information about the conduct of the appeal should be exchanged between the management
representative and the appellant (or his/her representative) and copied to those hearing the
appeal.
The Statement of Case should reiterate the exact basis of the appeal and outcome
sought/remedy specified at the time of the notification of appeal. These should be submitted by
both sides at least 10 working days before the hearing and should include written details of any
witnesses to be called, and how their evidence 'fits' with the Statement of Case.
Appeals under this framework are the last stage of the County Council's internal procedures and no
further right of internal appeal exists.
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