Grievance - appeal hearings


23. Grievance - appeal hearings

An employee has a right of appeal. An appeal is not a re-hearing of the case.

The purpose of the appeal is to provide the employee with a further opportunity to have their complaint addressed.  The appeal will allow new information and, where appropriate, the calling of witnesses.

23.1. Employee registers their appeal

Employees have a right to appeal against the outcome determined made at the Formal Meeting. 

Appeals must be submitted by the employee or their representative, in writing, to the Manager who conducted the Formal Meeting within 10 days of receipt of the letter confirming the outcome of the Formal Meeting.

The employee should use the ‘Appeal Record Form’ to supply specific details of their grounds for appeal (case statement), confirm the outcome they are seeking and attach any relevant information/evidence in support of their appeal.  No further paperwork can submitted prior to, or at, the Appeal Hearing. 

23.2. Attendees at the Appeal Hearing

  • Wherever possible, appeals will be heard by the employee’s Corporate Director, who should not have been involved in the case previously.  Where this is not appropriate, Democratic Services have a rota for different Corporate Directors to hear appeals.
  • HR will attend the hearing to advise the manager.
  • The manager who determined the outcome at the Formal Meeting will attend to explain how they have tried to resolve the complaint.
  • Where the complaint relates to discrimination or harassment, every effort should be made for the Corporate Director and the HR attendee to be representative of the social identity group of the employee.
  • The employee may be accompanied or represented by their trade union representative or work colleague
  • A note-taker, relevant witnesses and observers (as agreed by the Corporate Director in consultation with the employee) may also attend. 

23.3. Arrangements for the Hearing

The arrangements for the co-ordination of Appeal Hearings will be made by the manager who conducted the Formal Meeting (or Democratic Services if appropriate).

  • Receipt of the employee’s appeal notification should be acknowledged, in writing, within 5 days of receipt.
  • Whenever possible, the appeal should be heard within 20 days of the receipt of the employee’s written notification of appeal.
  • It is the responsibility of the manager who conducted the Formal Meeting (Democratic Services if appropriate) to organise who should be present at the Appeal Hearing, make arrangements for the Appeal Hearing to take place taking into account any special requirements requested such as access needs and to write all relevant letters in connection to the Appeal Hearing taking place.
  • As soon as it is available (within 10 days of employee’s receipt of the letter confirming the outcome of the Formal Meeting), the manager who conducted the Formal Meeting should receive the employee’s case statement to enable them to produce a management case statement in response.  The management case statement should be forwarded to the Corporate Director or Democratic Services, within 10 days of receipt of the employee’s case statement.
  • The manager who conducted the Formal Meeting (or Democratic Services) will notify the employee of the date, time and venue of the Appeal Hearing, in writing, a minimum of 5 days prior to the Hearing and ensure that the employee receives 2 copies of all relevant paperwork from the Formal Meeting and the manager’s case statement (unless they have indicated on the Appeal Record Form that paperwork can be sent direct to their Trade Union Representative or Work Colleague). . 

The employee should be sent 2 copies (unless agreed otherwise) of any paperwork - the employee can then give a copy of the paperwork to their trade union representative or work colleague if they wish. 

  • The Corporate Director conducting the Appeal Hearing should ensure that notes are taken of the hearing – this task may be undertaken by Democratic Services if involved. 
  • Employees will need to inform Democratic Services/the manager who conducted the Formal Meeting if they require any witnesses to attend the Appeal Hearing when forwarding their Appeal Form (case statement).

23.4.  Format of the Appeal Hearing

  • Corporate Director makes the introductions (names/roles in the process).
  • Corporate Director advises the employee of their right to be accompanied.  If the employee chooses not be accompanied by a trade union representative or work colleague, this should be recorded together with the employee’s agreement for the Appeal Hearing to go ahead.
  • Corporate Director asks all present to confirm receipt of any documentation sent out relevant to the Appeal Hearing.
  • The employee (and/or their trade union representative or work colleague) presents their case.  This should include the details of why they remain dissatisfied with the outcome of their Formal Meeting and the outcome(s) sought, including witnesses as appropriate.
  • Corporate Director asks questions to clarify any points.
  • The manager who determined the outcome of the Formal Meeting asks any questions.
  • Corporate Director hears the case presentation put forward by the manager who determined the outcome of the Formal Meeting.
  • Corporate Director asks any questions to clarify any points.
  • The employee (and/or their Trade Union representative or work colleague) ask any questions.
  • Both parties are given the opportunity to cross question.
  • The Manager who determined the outcome of the Formal Meeting summarises their case for arriving at the outcome.
  • The employee or his/her TU representative/work colleague summarises his/her case.
  • Corporate Director adjourns the Appeal Hearing to consider the cases presented to decide whether or not to change the outcome of the Formal Meeting.

In deciding whether or not to change the outcome determined at the Formal Meeting, the manager should be satisfied that:

  • there were no procedural irregularities which may have prejudiced the outcome:
  • the relevant evidence, facts or factors were taken into account and relied upon in determining the outcome;
  • no irrelevant evidence, facts or factors were taken into account or relied upon in  determining the outcome
  • the complaint(s) raised was adequately investigated or sufficiently substantiated
  • all the evidence, facts and mitigating circumstances that were presented were taken into account
  • the employee’s commitment to move forward was heard.

Corporate Director reconvenes the hearing to inform the employee of the outcome of their Appeal Hearing and advise them that there is no further right of appeal through Harrow’s internal procedures.

23.5. Confirming the Outcome of the Appeal Hearing

The Corporate Director should write to the employee within 5 days of the meeting to confirm the outcome of their appeal ensuring the letter provides reasonable justification to support the outcomes of the Appeal Hearing.

The letter should confirm there is no further right of appeal through Harrow’s internal procedures. 

23.6. Notifying other parties

Following the conclusion of the Appeal Hearing, the Corporate Director should meet with the employee complained about to advise them of sufficient details of the outcome of the appeal and any recommendations that relate directly to them. 

The Corporate Director should notify any relevant managers of the outcome of the complaint and any recommendations.