Appeals Against Formal Warnings Disciplinary Sanctions Andor Dismissal V0e 081210

Appeals Against Formal
Warnings, Disciplinary
Sanctions and /or
Dismissal Policy
Policy type: Trust
Policy reference number: (to be obtained from the Policy Co-ordinator)
Policy classification: Employment
Author: Eleri Lloyd, HR Officer
Policy lead: Karen Wright, Associate Director of Workforce and OD
Executive lead: TBC
Date: 1st November 2010
Version: V0e
Publication/ Distribution:
Public Health Wales (Intranet)
Review Date: April 2013

Approval date:
TBC
Approving body: Trust Board

Purpose and Summary of Document:
The opportunity to appeal against a formal warning, disciplinary sanction
or to terminate a contract of employment is an essential part of the
process of natural justice and a statutory right in law.
This Policy sets the grounds on which an appeal may be made by an
employee, the responsibilities of the Trust and the employee when an
Public Health Wales
Appeals Against Formal Warnings, Disciplinary Sanctions and / or

Dismissal Policy
appeal has been submitted and the process to be followed.

This policy complies fully with the Employment Rights Act (2008) and the
ACAS Disciplinary and Grievance Procedures Code of Practice (April 2009).
This policy clarifies and consolidates the arrangements, in respect of
appeals which may be submitted as a result of the management of the
following Trust policies; Trust Disciplinary Policy, Trust Managing Sickness
Absence Policy, Trust Managing Performance Policy and Trust Probationary
Period Policy and Procedure.
It should be noted that the prescribed timescales for the submission and
hearing of such appeals will be detailed in the relevant Trust policy.
Intended audience: All staff employed by Public Health Wales

Interdependencies with other policies:
Trust Sickness Absence Policy
Trust Disciplinary Policy
Trust Managing Performance Policy
Trust Probationary Period Policy and Procedure
Date: 8th December 2010
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Appeals Against Formal Warnings, Disciplinary Sanctions and /

Dismissals Policy
Contents
1. POLICY SUMMARY AND INTRODUCTION.....................5
2.POLICY AIMS AND OBJECTIVES.......5
3. SCOPE OF THE POLICY................................................6
4.LEGISLATIVE AND NATIONAL INITIATIVES...6

5. DEFINITION OF APPEAL.............................................6
6
RESPONSIBILITIES...................................................7
6.1
6.2
6.3
6.4
The Appellent.........................................................................7
Managers...............................................................................7
Role of Trade Union Representative........................................7
Role of the Human Resources Department..............................8
7. SUBMISSION OF APPEALS AND TIMESCALES 9

7.1
7.2
7.3
7.4
7.5
7.6
7.7
Appeals during an employees probationary period....9

Appeal Against Formal Warnings Due to Performance Issues.....9
Appeal against oral warning.....10
Appeals against written, final written warning and dismissals ..10
7.4.1 Appeals Panel.11
Appeal Against Dismissal Due to Sickness Absence.....11
Appeal Against Dismissal Due to Performance Issues .....12
Date of Receipt....12
8. THE APPEAL HEARING

8.1
8.2
8.3
8.4
Timescales to follow...............................................................12
Submission of papers .............................................................12
Those present at the hearing................................................13
Responsibilities within the hearing ...........................................13
8.4.1 Chairperson.................................................................13
8.4.2 Secretary.......................................................................14
8.5 The Hearing process..............................................................14
PROCESS FOLLOWING THE APPEAL HEARING..........16
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Dismissals Policy
10. Training...17
11. Communication to staff...17
12. Monitoring and auditing..17
13. Review..18
POLICY SUMMARY AND INTRODUCTION
Public Health Wales endeavours to promote good employment relations
between the Trust and all its employees. Consequently it attaches the
greatest importance to the principle of fair and consistent treatment of all
employees.
The policy recognises that where disciplinary action is taken, and results in
the issue of a sanction, an employee may believe that the sanction or
action was inappropriate or unjust. Therefore, in such instances it is
important that the employee is given a right to appeal against the decision.
Any disciplinary action taken against an employee will be undertaken in
accordance with the provisions contained in the Disciplinary Policy and
Rules. As such, a disciplinary matter may result in the issue of an oral, a
formal written or a final written warning or dismissal.
The policy also recognised that other Public Health Wales employment
policies and the associated procedures may result in the issue of a formal
warning or termination of an employees employment on capability related
grounds. This may be in respect of appeals which may be submitted as a
result of the management of the following Trust policies; Trust Disciplinary
Policy, Trust Managing Sickness Absence Policy, Trust Managing
Performance Policy and Trust Probationary Period Policy and Procedure. In
those cases, this appeal process will be applied, utilising the timescales as
prescribed in the relevant employment policy.
1. POLICY AIMS AND OBJECTIVES

This purpose of this policy is to ensure:
compliance with the Employment Rights Act (2008) and the ACAS
Code of Practice, Discipline and Grievances at Work (April 2009);
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Dismissals Policy
employees can submit an appeal without fear of victimisation by

management;
all appeals are dealt with promptly, fairly and consistently, using the
following procedure;
there are no unreasonable delays in respect of holding appeal hearings
and communicating the decision;
the timing and location of hearings are reasonable and accessible;
that should a disabled employee or former employee be involved in this
process, Public Health Wales and the individual will work together to
identify any reasonable adjustments, to ensure the appellant is not
disadvantaged in any way;
other access issues, including the need for linguistic support will be
addressed, to ensure that all appellants are able to fully participate in
the process; and
that all employees are treated in a manner that complies with equality
and diversity legislation, principles and practice.
2. SCOPE OF THE POLICY

The Policy will apply to all employees of Public Health Wales for matters
relating to appeals in respect of disciplinary warnings and dismissals.
All appeals will be arranged through the office of the Director of Workforce
and OD and all correspondence should be addressed to the Director of
Workforce and OD (unless otherwise stated in section 7), unless the case
relates to a member of HR staff, in which case the advice of the Chief
Executive will be sought.
Where an appeal has been submitted, an Appeal Panel will be formed for
that purpose.
3. LEGISLATIVE AND NATIONAL INITIATIVES

This policy complies with the Employment Rights Act (2008) and the ACAS
Code of Practice, Discipline and Grievances at Work (April 2009);
4. DEFINITION OF APPEAL
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An appeal may be submitted by an employee or their trade union

representative on their behalf, on any number of grounds, for instance new
evidence coming to light, a belief that due process was not followed, undue
severity or inconsistency of the disciplinary sanction / action, formal
warnings or dismissal.
The appeal hearing may be to review the disciplinary sanction / action or
formal warnings and the process followed at the original hearing,
depending on the grounds of the appeal.
An appeal hearing may not be used by management as an opportunity to
increase the original sanction, as such an action would deter others from
invoking their right of appeal. The purpose of the appeal is therefore, to
consider the information, evidence and facts surrounding the case and to
conclude whether the original decision was reasonable and fair in all of the
circumstances.
It is important that appeals are submitted and are arranged to be heard as
quickly as possible, taking into account the policy timescales and the need
for both parties to fully prepare for the hearing.
5. RESPONSIBILITIES
6.1 The Appellant
The appellant is required to set out in writing the reasons for their appeal
and an indication of the redress sought. The letter of appeal must indicate
whether or not the appellant wishes to be accompanied at the hearing and
if so by whom.
The appellant must take all reasonable steps to attend the appeal hearing.
Where there is an unavoidable reason as to why the employee cannot
attend the arranged appeal hearing, one alternative date will be rearranged
by the Trust.
Should an appellant be required to attend an appeal hearing outside of
their normal working hours and they are employed by the Trust, time off in
lieu will be granted. If this is not possible, payment will be made at their
standard hourly rate.
6.2 Managers
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The manager who has undertaking the role of the disciplinary or dismissing
officer, is responsible for ensuring that an employee is made aware of their
right to appeal against their disciplinary sanction or dismissal.
The
manager in such circumstances must also ensure that the employee is
informed of the process and timescales for submitting their written appeal.
6.3
Trade Union or Workplace Representatives
An appellant has a statutory right to be accompanied when they attend an

Appeal Hearing. The appellant may choose to be accompanied by a trade
union representative or a work place colleague. It should be noted that
where an employees chosen representative has been involved in the
circumstances surround the case, or it is believed that their presence may
prejudice the hearing, they will not be permitted to participate in the
hearing in this capacity. In such circumstances the employee will be asked
to find an alternative representative.
During an appeal hearing, the appellants representative will be permitted
to address the hearing, to:
put the appellants case forward;
sum up the appellants case;
respond on the appellants behalf to any view expressed at the hearing;
and
ask questions to any witnesses or the management representative on
behalf of the appellant.
The representative may also confer with the appellant during the hearing.
The representative may ask for the panel to be adjourned should they wish
to confer with the appellant in private. In such circumstances, a private
room will be made available to them, if this is practicable in the
circumstances.
The representative will not be permitted to answer questions on the
appellants behalf, to address the hearing if the appellant does not wish it,
or to prevent the management representative from explaining their case.
Trade union representatives are required to make their members aware of
their right of appeal and provide them with appropriate advice and support,
should they wish to submit an appeal on relevant grounds against a
disciplinary sanction or dismissal.
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6.4

Dismissals Policy
Human Resources Managers and Officer
The Human Resources function is required to ensure that all managers

involved in disciplinary hearings are aware of this policy and the
requirement to formally inform employees of their right of appeal, the
timescale for doing so and the process to be followed.
The Human Resources manager or officer who has provided support to the
disciplinary / dismissal officer, during the disciplinary hearing, will be asked
to assist them to prepare their management statement of case and to
attend the Appeal Hearing, as appropriate, to provide the management
representative with appropriate advice and support
An Assistant Human Resources Officer / Advisor may be present at the
Appeal Hearing to take notes of the proceedings.
A nominated Human Resources Manager or Officer will be required to
attend the Appeal Panel, to undertake the role of Human Resources Advisor
to the Appeal Panel.
The Human Resources Advisor will also be permitted to ask questions of
the appellant and or their representative, the disciplinary / dismissing
officer and the Human Resource Manager / Officer who provided them with
support during the original hearing and any witnesses.
This role is
essential to ensure that the Appeal Panel has all available information to be
able to make an informed decision and to ensure that due process has
been followed.
6. SUBMISSION OF APPEALS AND TIMESCALES

6.1.
Appeal During a Probationary Period
Employees who have been disciplined, received formal warning or
dismissed under the policies highlighted in the introduction during their
probationary period or extended probationary period will be allowed the
right of appeal against disciplinary action, and/or dismissal, to the officer to
whom the disciplining/dismissing officer is responsible.
The appeal must be submitted within 21 calendar days of the date of
receipt of the written confirmation of disciplinary action / formal warning /
dismissal. An employee who receives a disciplinary sanction / formal
warning or is dismissed must be informed of their right of appeal and the
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Dismissals Policy
arrangements for making such an appeal, including identification of the

officer to whom the appeal should be made to.
The appeal panel will normally consist of the officer to whom the
disciplining/dismissing officer reports to, or someone more senior, if
appropriate, and a Human Resources Manager/Officer who has previously
not been directly involved in the circumstances leading to the disciplinary
sanction / formal warning or dismissal.
6.2.
Appeal
Against
Performance Issues
Formal
Warning
Due
to
An employee who is issued with a formal warning on the grounds of

performance must be informed in writing of their right of appeal and the
arrangements for making such an appeal, including, identification of the
An appeal against a formal warning on the grounds of performance should
be submitted in writing to the identified officer. This may be the officer to
whom the disciplining officer reports to or someone more senior, if
appropriate. The appeal must be submitted to the relevant officer, within
21 calendar days of the date of receipt of the written confirmation of the
disciplinary sanction.
disciplining officer reports to, or someone more senior, if appropriate, and a
Human Resources Manager/Officer who has previously not been directly
involved in the circumstances leading to the disciplinary sanction or
dismissal.
6.3.
Appeal Against an Oral Disciplinary warning
An employee who receives an oral disciplinary warning must be informed in

writing of their right of appeal and the arrangements for making such an
appeal, including, identification of the officer to whom the appeal should be
made to.
An appeal against an oral disciplinary warning should be submitted in
writing to the identified officer. This may be the officer to whom the
disciplining officer reports to or someone more senior, if appropriate. The
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Dismissals Policy
appeal must be submitted to the relevant officer, within 21 calendar days of

the date of receipt of the written confirmation of the disciplinary sanction.
disciplining officer reports to, or someone more senior, if appropriate, and a
Human Resources Manager/Officer who has previously not been directly
dismissal.
6.4.
Appeal Against a Written,
Disciplinary Warning and Dismissal
Final
Written
An employee who wishes to appeal against their disciplinary sanction /

dismissal, must submit their written appeal, including the reasons for their
appeal, with the Director of Workforce and OD within 21 calendar days of
the date of receipt of the written confirmation of their disciplinary action /
dismissal.
An employee who receives a written, final written disciplinary warning or
dismissal must be informed of their right of appeal and the arrangements
for making such an appeal, including identification of the officer to whom
the appeal should be made to.
6.4.1.
Appeals Panel
The Appeal Panel will normally consist of one senior manager, one member
of the Trust Board and one Non Executive Director. If deemed necessary,
at least one member of the panel should have specialist knowledge of the
field of work of the employee, where this is relevant to the case. Where
this is not possible, in cases of an appeal against dismissal, the Panel shall,
at the request of the appellant or their representative, appoint an internal
advisor who is experienced in the particular discipline of the employee, and
who has not been directly involved in the circumstances leading to the
disciplinary sanction or dismissal.
The internal advisor may only advise the Panel on any matter arising
during the course of the hearing, which they feel may be related to the
professional conduct or professional competence of the employee.
The Appeal Panel shall not include any member who has been directly
dismissal.
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6.5.
Appeal
Absence

Dismissals Policy
Against
Dismissal
Due
to
Sickness
An employee whose employment is terminated on the grounds of sickness

absence must be informed in writing of their right of appeal and the
arrangements for making such an appeal, including, identification of the
An appeal against termination of employment on sickness absence grounds
should be submitted in writing to the Director of Workforce and OD within
14 calendar days of receipt of confirmation of the letter of dismissal being
sent.
The appeal panel will be as defined within Section 7.4.1 of this policy.
6.6.
Appeal Against Dismissal Due to Performance
Issues
An employee whos employment is terminated on the grounds of
performance or offered redeployment as an alternative to dismissal must
be informed in writing of their right of appeal and the arrangements for
making such an appeal, including, identification of the officer to whom the
appeal should be made to.
An appeal in respect of a performance issues should be submitted in
writing to the Director of Workforce and OD within 21 calendar days of
receipt of written confirmation of the warning, offer of redeployment or
dismissal.
The appeal panel will be as defined within Section 7.4.1 of this policy.
6.7.
Date of Receipt
Where an employee has a right of appeal, the letter communicating this

information will be sent via recorded delivery post. Date of receipt will be
the date on which the employee signs and takes receipt of the letter.
Where this is disputed Public Health Wales will contact the post office to
confirm the date on which the letter was signed for and to seek
confirmation regarding who signed and took receipt of the letter.
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8.

Dismissals Policy
THE APPEAL HEARING

8.1
TIME SCALES TO FOLLOW
The appeal hearing should take place within eight weeks of the date of
receipt of the appeal by the Director of Workforce and OD. By the mutual
agreement of both parties, this period may be extended for a further
period of up to eight weeks. The appellant shall be given in writing at least
fourteen calendar days notice of the date of the hearing.
8.2
Submission of papers
Should the management representative and / or the appellant wish to

submit a written Statement of Case and / or papers to support their case,
they must do so at least 10 working days in advance of the hearing date.
The statement of case should be submitted to the Director of Workforce
and OD and must set out;
the grounds on which the case is based;

any additional evidence that will be relied on during the appeal
hearing;
a chronological breakdown of the events leading up to the appeal;
and
witness statements and details of the witnesses they wish to call.
No other written evidence / information may be submitted to the Appeal

Panel on the day of the hearing, unless all parties agree. Should both
parties fail to agree to the submission of late evidence / information, it will
be for the Appeal Panel to consider the documentation, to determine its
relevance to the case and the necessity of its inclusion, to ensure the
process of natural justice is adhered to.
If the prescribed timescale for the submission of statement of case papers
is not complied with, the Chairperson of the Appeal Panel may decide
whether or not the appeal can continue or be rearranged for a later date.
8.3
Those present at the hearing
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Dismissals Policy
Those required to be present throughout the hearing shall be

management's presenting officer i.e. the Disciplining / Dismissing Officer,
the Human Resources Officer /Manager involved in the original disciplinary
hearing, the appellant and their representative (if they have chosen to be
accompanied).
8.4
Responsibilities within the hearing
8.4.1 Chairperson
Before the commencement of the hearing the Appeal Panel shall designate
a Chairperson who will preside over the conduct of the appeal. Where the
appeal panel consists of one manager and the Human Resources
Manager/Officer, the manager will be the designated Chairperson.
8.4.2 Secretary
The Chairperson shall nominate the HR Advisor to act as Secretary to the
Panel during the hearing. The role of the Secretary shall be to advise the
members of the Panel on:
8.5
The appropriate conduct of the hearing;

The relevant regulations relating to terms and conditions of service,
employment legislation, case law etc., where appropriate;
Record the significant points made at the hearing; and
Record the outcome(s) and ensure that the appropriate letter is
prepared for the Chairperson to sign and sent to the appellant, within
the agreed timescales.
The Hearing Process
The order of the appeal hearing shall be observed as follows:

8.5.1
The Appeal Panel, with the Secretary to the Panel, the note taker
and, where appropriate the internal advisor shall be in attendance
throughout the appeal hearing. The Chairperson will undertake
introductions and confirm the following hearing process.
8.5.2
The disciplinary / dismissing officer and / or the human resources

officer / manager who dealt with the original disciplinary /
dismissal panel, (the management representatives) shall state the
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Trusts case in the presence of the appellant and their

representative.
They may also call witnesses, as previously
advised.
8.5.3
The appellant or their representative will be given an opportunity

to comment on and ask questions of the management
representatives and their witnesses.
8.5.4
The members of the Appeal Panel and the HR Advisor shall have
the opportunity to comment on and ask questions of the
management representatives and their witnesses.
8.5.5
The management representatives shall have the opportunity to reexamine their witnesses on any matter referred to in their
examination, by members of the Appeal Panel, the HR Advisor, the
appellant or their representative.
8.5.6
Managements witness shall not attend the hearing, prior to them

being called to provide their witness statement. Witnesses will
withdraw once they have provided their evidence and answered
questions from all parties.
8.5.7
The appellant or their representative shall present their case in

the presence of the management representatives. They may also
call witnesses, as previously advised.
8.5.8
The management representatives shall have the opportunity to

comment on and ask questions of the appellant, their
representative and their witnesses.
8.5.9
The members of the Appeal Panel and the HR Advisor shall have
an opportunity to comment on and ask questions of the appellant,
their representative and their witnesses.
8.5.10 The appellant or their representative shall have the opportunity to

re-examine their witnesses on any matter referred to in their
examination by members of the Appeal Panel, the HR Advisor or
the management representatives.
8.5.11 The appellants witness shall not attend the hearing, prior to them
being called to provide their witness statement. Witnesses will
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withdraw once they have provided their evidence and answered

questions from all parties.
8.5.12 The management representatives and the appellant or their
representative will be given an opportunity to sum up their case, if
they so wish. The appellant or their representative will be given
the opportunity to choose whether they sum up their case first or
last.
8.5.13 In their summing up neither party may introduce any new matters
or evidence.
8.5.14 Nothing in the foregoing procedure will prevent the Appeal Panel
members from inviting either party to clarify or amplify any
statement which they may have made, or from asking them any
other relevant questions, at any time during the hearing.
8.5.15 The Appeal Panel may at its discretion adjourn the appeal, in
order that further evidence may be produced by either party to
the appeal, or for any other reason.
8.5.16 Following summing up, the management representatives, the
appellant and their representative will be asked to withdraw by the
Appeal Panel.
8.5.17 The Appeal Panel, with the Secretary to the Panel, the note taker
and where appropriate the internal advisor shall deliberate in
private, only recalling both parties should they need to clarify
points of uncertainty on evidence already given. If recall is
necessary both parties shall return to address the point giving rise
to doubt.
8.5.18 The Appeal Panel shall consider the Trusts case and the
appellants case and make an informed decision.
8.5.19 In the case of disciplinary sanction / dismissal appeals, no
statements of previous acts of misconduct by the employee, or the
issue of a formal warning, or warnings unrelated to the alleged
offence(s) on which the disciplinary sanction / dismissal is based,
will be made known to the Appeal Panel.
9.
PROCESS FOLLOWING THE APPEAL HEARING
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Dismissals Policy
Should the Appeal Panel believe that they will be able to make a decision
on the day of the hearing, both parties will be asked to wait outside and
they will be called back into the hearing, to be advised of the outcome.
Should the Appeal Panel believe that they will be unable to make a decision
on the day of the hearing, both parties will be advised.
In such
circumstances the Chairperson will provide both parties of a timescale in
which the decision will be made and communicated.
The Chairperson of the Appeal Panel will be required to communicate the
decision to the employee in writing, without unreasonable delay. The
written confirmation will normally be provided within 7 calendar days of the
appeal hearing.
The outcome of the appeal hearing will be final and will conclude the
appeal procedure.
The outcome of the appeal panel will be reported to the Trust Board for
noting.
Feedback will be provided to the management representatives by the
Secretary to the Appeal Panel upon request.
A record of the appeal hearing, including notes of the meeting and any
evidence submitted, will be kept in the employees personnel file for a
period of one year, following the date of the decision letter. After this time,
all notes of hearing and documentary evidence will be destroyed. A record
of the decision of the appeal hearing will be kept on the appellants
personnel file.
10. Training
To ensure that managers within Public Health Wales are aware of the
appeals policy and procedure, information on the process will be
incorporated into the Managing Disciplinary Issues training that is run on
an annual basis.
Members of the Human Resources Department are required to provide
guidance to managers with the responsibility of issuing disciplinary
sanctions, and guidance and advice to members of the appeals panel.
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11.

Dismissals Policy
Communication to staff
All staff groups need to be made aware of this policy. The policy will be
made available on the intranet page once the policy is approved. It will also
be distributed via the e-bulletin.
Line Managers should bring the policy to the attention of their staff for
information only.
Where an employee has a right of appeal to a warning, sanction or
dismissal, they will be communicated this verbally and followed up in
writing, with the letter communicating this information sent via recorded
delivery post, enclosing a copy of the Policy.
12. Monitoring and auditing

The policy lead will monitor and audit this policy to ensure it is complaint
with current legislatives, to ensure it is implemented, and ensure that the
policy is being adhered to.
13. Review
This policy will be reviewed on 31 April 2013.
Information Governance implications comments by information

governance lead:
This policy does not introduce any additional or special information
governance or privacy issues or risks beyond those already inherent in
disciplinary procedures. There will need to be clear procedures in place to
ensure that copies of Appeals documentation are only retained for the
period defined in Section 9, and panel members will need to be reminded
not to retain copies of material once the hearing has taken place as this
may hold sensitive information about third parties as well as about the
employee. Panel members will therefore need to be asked to dispose of
their papers securely in the knowledge that a formal set is retained for the
defined period.
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Public Health Wales

Dismissals Policy
Peter A Boyle
26 November 2010.
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Review Date: April 2013

Approving body: Trust Board

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