Appeals policy

Policy overview

We consider all appeals fairly and consistently. We do this in line with good practice guidance. This guidance is provided by ACAS (Advisory, Conciliation and Arbitration Service).

We are committed to identifying and addressing concerns early. We aim to use preventive action at the earliest opportunity. We will identify sources of internal and external support for all employees.  

Employees can make a formal appeal if unhappy with the outcome of formal action.

Principles 

This policy applies to: 

  • appeals against formal disciplinary sanctions short of dismissal 
  • appeals against dismissal under any policy, including but not limited to:  
    • disciplinary 
    • capability 
    • sickness absence 
    • redundancy 
    • end of a fixed-term contract 
    • and dismissals for some other substantial reason 

This policy does not apply to where there are specific appeal provisions in the relevant policy including:

  • pay
  • flexible working
  • grievances
  • dismissal due to unsuccessful completion of probation

If an employee registers an appeal, they will not suffer any detriment. If this occurs, those responsible may be subject to disciplinary action.

Appeal hearings are not re-hearings of the original case. The purpose of the appeal is to determine whether the original decision was a reasonable outcome. The facts and evidence presented will be the basis of whether it was a fair decision.

Appeals will not usually involve recalling witnesses. We will only recall witnesses by exception. For example, a point of fact needs clarifying or explaining. Any proposal to recall a witness will be discussed with the HR representative.

Appeals procedure

Employees can appeal, in writing, against the formal disciplinary sanction or dismissal decision.

We must receive this within five calendar days from the date that the employee is deemed to have received the letter confirming outcomes from the disciplinary hearing. Additionally, confirmation of the intent to appeal must confirm the grounds of appeal. The employee will then have a further five calendar days to submit documentation. We will recognise receipt of an appeal letter: 

  • two days after posting, if sent by first-class post  
  • immediately, if sent via email 

We will forward an appeal letter or email to the HR department. The employee will need to send this to BS_HRAdvisory1@lincolnshire.go.uk.

The employee will need to outline one, or more, of the following grounds for appeal: 

  • there was a defect in the procedure applied
  • in circumstances of redundancy, this may include a flaw in the selection criteria or application of the criteria. This may consist of a challenge to the scoring, where there is evidence to substantiate this, leading to unfair selection. Any challenge to the scoring must be on reasonable grounds
  • not all relevant evidence has been considered 
  • the sanction or decision is too severe 
  • new evidence has come to light since the sanction or decision which may have materially changed the outcome of the hearing

The employee must provide the rationale or evidence in respect of the grounds identified. This, and all other evidence for consideration, will be circulated to all involved with the hearing before it takes place.

We will arrange the appeal hearing with at least ten working days' notice.

The appeal manager or panel will:

  • review the decision and the evidence from the original hearing
  • review any further evidence that may be relevant

Copies of the notes from the previous hearing will form part of the evidence. They will be available to all parties.

At the hearing, the employee will outline the grounds of their appeal. They will present evidence and documentation where relevant.

The manager who held the previous formal hearing will:

  • present the management position
  • will present evidence and documentation, where relevant

Where the appeal is against dismissal the manager may allow a member of legal services to present the management position.

Employees may bring a companion. They must notify the appeal manager or panel chair who the companion is at least 24 hours before the hearing. They can be:

  • a trade union representative
  • a work colleague
  • an official employed by a trade union 

If we do not know the trade union official, they must provide documentation from the relevant trade union. It must state that:

  • they are a union representative
  • they are authorised by that union to represent employees

No other companions will be permitted to attend the hearing. 

If required, employees should discuss any adjustments which may be required with the appeal manager or panel chair.

The companion will be allowed to address the hearing to present and sum up the case. They can:

  • respond on the employee's behalf and confer with them during the hearing  
  • not answer questions on the employee's behalf 
  • not address the hearing if the employee does not wish it or prevent them from explaining their case 

If the employee, or their companion, are unable to attend the hearing, we will reschedule it to take place within the following five days or as soon as practicable.  

The employee will receive notice of the rescheduled date in writing.

If they are not able to attend on the revised date without just cause, we will dismiss the appeal. The employee will have no further right to appeal. 

Appeal against formal disciplinary sanctions short of dismissal

A more senior-level manager will hear the appeal. They are the appeal manager.

An HR representative will accompany them. They will provide advice on policy and procedures.  A separate note taker will also attend arranged by the appeal manager.

Appeal against dismissal

We will convene a panel to hear any appeals against dismissal. The panel will consist of two senior managers: 

  • the chair, who will be an assistant director or executive director from the service area concerned. It may be someone at an equivalent (or higher level) from a different service area
  • a second senior manager of head of service level from the same or a different service area 

An HR representative will also attend. They will provide advice on policy and procedure. 

A separate note taker will also attend arranged by the Chair of the appeals panel.

We may consider convening an appeals panel with elected members, if appropriate.

Re-hearing  

If an appeal relates to a defect in the original hearing procedure, the head of HR may advise that a re-hearing occurs in place of the appeal hearing.  

If this is the case, the hearing will follow the original hearing procedure. All parties and witnesses can attend. The possible outcomes will be consistent with the appeal hearing procedure. 

New evidence

In the appeal hearing, managers may consider any new evidence. Any evidence is subject to submission no later than five working days before the hearing.   

The appeal manager or panel can agree to the admission of any late new evidence. We may adjourn the appeal hearing to allow time to consider the evidence.  

Employees must state what the new evidence is and why it may alter the original decision. They will need to say why they did not include it at the previous hearing. 

Appeals outcomes

The appeal outcomes may be:  

  • uphold the case against the employee and the original sanction or dismissal 
  • uphold the case against the employee but impose a reduced sanction or reinstatement  
  • uphold the appeal and not uphold the case against the employee, which withdraws the sanction imposed or reinstates them   

The decision of the appeal manager or panel will normally be given at the appeal hearing.  It will be confirmed in writing later. The appeal manager or panel may take additional time to consider the case. The appeal manager or panel chair will confirm their decision with employees in writing.   

The decision made by the appeal manager or panel is final. There is no further internal right of appeal. 

Successful appeal against dismissal 

If an appeal against dismissal is successful, we may reinstate the employee into their previous position. The reinstatement will be effective from the date of dismissal. 

In some cases, it may be appropriate for them to move into a different position. It will be of equal status and pay. This will take place only after discussion with the employee and their companion.  

When a position no longer exists, we will consider alternative employment. 

There will be no loss of continuity of service or associated rights.  

If an employee's dismissal notice has expired, they will receive the appropriate amount of back pay. This will be for the period between the effective date of termination and the day of reinstatement.