Wyvern Academy A cmpany limited by guarantee, registered in England and Wales. N 8123602 Disciplinary Prcedure (DCC May 2016) Review f Plicy: March 2017 Members f staff respnsible: Head Teacher Plicy Histry: Ratified Descriptin f Plicy Frmatin and Cnsultatin Prcess Peple invlved: Headteacher FTB Cmmittee Signed by Chair f Trustees: Date: March 2017 Date fr Review: Spring 2018 (if new/updated DCC Plicy)
Wyvern Academy Disciplinary prcedure This shuld be read in cnjunctin with the disciplinary plicy and guidance dcuments and ACAS guidance n cnducting investigatins in the tlkit. Advice can be sught frm HR at any stage but will usually be sught in relatin t suspensin, criminal/safeguarding allegatins and prir t any frmal actin being taken. A flw chart utlining the main steps is at appendix AA Definitin The Manager will be the decisin-maker pre-hearing and usually will be the Head teacher r in the case f alleged miscnduct f the Head teacher, the Chair f Trustees. The Investigating Officer will be respnsible fr the investigatin and reprt findings The Presenting Officer, usually the manager, will present the management case at a hearing The Presiding Officer will hear the case and will be the decisin-maker at a hearing. There will be a different Presiding Officer (Appeal) t hear any appeal. The Scheme f Delegatin at appendix B f the plicy cnfirms the minimum level f authrity t take actin at each stage f the prcess and guidance n the rles is at appendix 1 in the tlkit. 1 PRELIMINARY INVESTIGATION 1.1 When managers becme aware f an alleged breach f discipline, they shuld cnduct a brief fact-finding investigatin t establish whether the alleged incident culd have taken place and whether it is apprpriate t treat the matter infrmally r frmally. 1.2 This decisin will largely depend n:- The nature f the alleged miscnduct. The seriusness f the alleged miscnduct. Previus actin, including any advice/warnings regarding the emplyee s cnduct. 2 INFORMAL 2.1 Where apprpriate, cnduct issues will be addressed by the manager as part f nrmal day t day management respnsibilities. Such actins will fall utside f the frmal disciplinary prcedure. 2.2 Where minr and/r repetitius acts f miscnduct ccur, infrmal actins including written advice and guidance regarding standards f cnduct may be apprpriate. It will be fr the manager t decide. This may be determined fllwing r withut a full investigatin; depending n the circumstances.
2.3 Where advice and guidance is issued, the emplyee must be warned that failure t bserve advice r repetitins f miscnduct in the future is likely t be cnsidered under the frmal stages f the disciplinary prcedure. The advice and guidance will be recrded n the emplyee s persnal file. The emplyee shuld be given a cpy f the written advice. There is n right f appeal against infrmal actin, hwever the emplyee shuld be prvided with an pprtunity t recrd their cmments if they disagree with the cntent r raise a frmal grievance under the dispute reslutin plicy/prcedure. 2.4 There is n right fr the emplyee t be accmpanied at the infrmal stages f the prcedure althugh emplyees are advised t seek advice frm their Trade Unin r Prfessinal Assciatin at this time. Representatives may be permitted t attend at the manager s discretin. 3 FORMAL 3.1 The frmal prcedure may be invked where: Previus advice/guidance/warnings have been ineffective. A number r pattern f minr cmplaints exist. There is a mre serius disciplinary matter. 3.2 The frmal stages f the disciplinary prcedure shuld be carried ut as prmptly as pssible in the interests f all. Timescales can be extended with the agreement f bth parties. 3.3 If an emplyee r their representative is unable t attend any frmal meeting fr gd reasn, it will be re-arranged nce within 5 wrking days usually. 3.4 The frmal stages f the disciplinary prcedure are based upn a graduated system f warnings with mre serius sanctins being applied where pr cnduct is repeated r where the emplyee fails t heed previus warnings r where the nature f the miscnduct justifies such a warning. 3.5 Nthing stated in this prcedure is intended t bar r discurage the reslutin f any matter between the parties by agreed alternative means r by agreed variatin t the prcedure as published. 4 REPRESENTATION 4.1 At all frmal meetings/hearings emplyees have the right t be accmpanied by a trade unin representative r wrkplace clleague, but nt a practising lawyer. 4.2 Emplyees are respnsible fr arranging their representatin, ntifying their representatives f meeting arrangements and prviding them with relevant paperwrk. 4.3 Emplyees shuld cnfirm their attendance and ntify the Chair f the meeting/nminated cntact f the name f the persn accmpanying them in advance. 5 MANAGEMENT LEAVE/SUSPENSION 5.1 In sme cases it may be apprpriate fr the emplyee t take a shrt perid f management leave n full pay (i.e. being asked t remain at hme with n wrk having been allcated) pending a decisin n next steps, including whether suspensin is necessary. This decisin is ften taken at the utset but can apply at any stage f the prcess. Any perid f management leave will nt be recrded n file as part f any disciplinary recrd.
5.2 An emplyee may be suspended frm duty n full pay in cases f grss miscnduct r where there is a risk t the safety f clleagues, pupils r t the emplyee themselves r a risk t the cntaminatin f evidence. The manager will give cnsideratin t whether suspensin is necessary and t any alternatives t remve an individual frm the wrkplace see guidance at appendix 2 f tlkit. 5.3 The decisin t suspend will ften be made at the utset but may be at any time during the prcess. 5.4 In cases where it is knwn that the emplyee hlds similar r equivalent emplyment(s) in ther schls, cnsideratin shuld be given as t whether the suspensin frm duty shuld be extended, fr example, when dealing with matters raised under the Allegatins plicy. 5.5 Staff will be ntified in writing f any decisin t suspend and shuld be advised t cntact their Trade Unin representative and be prvided with the cntact details fr the Staff Cunsellr. The frmal letter f suspensin shuld be handed t the emplyee r sent recrded delivery, t ensure prf f receipt. 5.6 Schls will nminate a link persn t act as a nminated cntact fr the emplyee fllwing management leave r suspensin. The rle f the link persn is t advise the emplyee f develpments at their schl. 5.7 Where suspensin relates t a safeguarding allegatin, the guidance in the allegatins plicy must take precedence ver this plicy and prcedure. 5.8 The scheme f delegatin at appendix B f the plicy will define wh has the authrity t invke and end a perid f suspensin. FORMAL STAGES 6 APPOINTMENT OF INVESTIGATING OFFICER 6.1 As sn as the frmal prcedure is invked the manager shuld appint an Investigating Officer (IO) in accrdance with the schl s scheme f delegatin (see appendix B f the plicy). The IO will: plan the investigatin see ACAS template investigatin plan at appendix 5. cntact the emplyee (see mdel letter appendix 12) and ascertain the facts and circumstances surrunding the allegatin(s) f miscnduct including identifying witnesses and taking statements frm them. ascertain the emplyee s respnse t the allegatin(s). keep a recrd f findings and prduce a reprt and may. recmmend whether r nt there is a case t answer at a frmal hearing r any alternative reslutins/actins. See guidance n rle at appendix 1 and ACAS guidance n cnducting wrkplace investigatins at appendix 4 in the tlkit. 7 INITIAL MEETING 7.1 Where the manager decides that frmal actin is required they shuld arrange an initial meeting with the emplyee and advise the emplyee t cntact their representative. 7.2 Emplyees may be accmpanied t the meeting by a willing wrk clleague r trade unin representative if available, but this will nt delay the meeting.
7.3 The meeting shuld take place as sn as pssible and nrmally within 48 hurs f the alleged incident. Where pssible, the meeting will take place face-t-face. 7.4 The purpse f the meeting is infrmatin giving nly; there is n right r expectatin f respnse and n right f representatin at this meeting. In particular the manager shuld: ntify the emplyee f the alleged miscnduct (unless there are exceptinal reasns t d therwise). tell the emplyee whether the matter will be subject t an investigatin, the name f the Investigating Officer and f their right t be given 5 wrking days ntice f any investigatin meeting(s) in additin t their right t be accmpanied. prvide the emplyee with a cpy f the disciplinary plicy and prcedure (if this has nt already been prvided). infrm the emplyee f whether suspensin r management leave will apply. 7.5 Fllwing the meeting, the emplyee will be sent a letter cnfirming the allegatins, infrmatin prvided at the initial meeting and the details f the investigatin (see mdel letter at appendix 10 and appendix 11, if suspended). 8 INVESTIGATION 8.1 In all cases in the frmal prcedure, an apprpriate internal investigatin will be required t establish essential facts, fully cnsider the matter and make an infrmed decisin abut whether r nt there is a case fr the emplyee t answer at a frmal disciplinary hearing. 8.2 The schl/academy will adhere t the principles utlined in the ACAS guidance cnducting wrkplace investigatins at appendix 4 f the tlkit and that dcument shuld be read in cnjunctin with this prcedure. 8.3 The schl/academy will aim t cnduct an investigatin withut undue delay while memries f events remain intact. Hwever, an investigatin will need t be thrugh and balanced, including evidence that supprts and cntradicts the allegatin/s. The emplyee shuld be asked t identify any individuals that they believe shuld be interviewed r dcumentatin t be cnsidered. The nature, scale and duratin f any disciplinary investigatin will be prprtinate and will depend n the seriusness and cmplexity f the miscnduct being investigated. 8.4 Interviews with pupils will nly be cnducted where abslutely necessary and, such interviews will take place as sn as practicable. The emplyee against whm the allegatins are being made shuld be advised f the right t have their representative attend all such interviews in the capacity f a silent witness t ensure accuracy f any evidence given and the fairness f the prcess. 8.5 T avid the necessity f pupils attending disciplinary hearings t give evidence, the emplyee s representative may request specific questins t be put t the pupil frm the Investigating fficer. Such requests fr questins will nt be unreasnably refused. A nte f any questin refused shuld be retained. The emplyee s representative is able t raise issues f prcedure nly which shuld be dne withut pupils being present. 8.6 Investigatins relating t safeguarding allegatins must be made with reference t the allegatins plicy. In such situatins, any plice investigatin may verride, delay r restrict the cnduct f a separate internal disciplinary investigatin as it will take pririty. Advice will be sught frm the lcal authrity designated fficer, based in the Safeguarding Unit, prir t cnducting any frm f investigatin, in these circumstances.
8.7 Statements r vide evidence taken in the curse f a scial care r external investigatin may be used as part f the internal investigatin prcess and may be submitted as evidence t a frmal disciplinary hearing. 8.8 Any written statements shuld be signed and dated and ideally all evidence shuld be attached as pdf dcuments t the investigatin reprt. 8.9 An emplyee will be given 5 wrking days ntice f any investigatin meeting(s) and will have the right t be accmpanied by a wrk clleague r Trade Unin/prfessinal Assciatin representative but nt a practising lawyer. 8.10 Allegatins may be reviewed and amended in light f the investigatin at any stage up t and including the hearing ntificatin and the emplyee will be made aware f any changes in writing. 8.11 The IO will check with the emplyee/representative that if there is deemed t be a case t answer, whether they wuld be interested in pursuing an alternative reslutin t a hearing, if an ptin. The IO will include any respnse in the Investigatin reprt and cnsider when making any recmmendatins. 8.12 Outcme The IO will prduce a reprt (see ACAS template reprt at appendix 6) with all evidence attached, ideally as pdf dcuments and present their findings t the manager/presenting Officer, wh will then determine the utcme; whether there is a case t answer r nt at a disciplinary hearing r any alternative reslutin/actins. 8.13 The emplyee will be sent a letter at the end f the investigatin by the manager/presenting Officer ntifying them f the utcme and what the next steps will be. 8.14 If there is n case t answer there may be infrmal advice/guidance issued if apprpriate (see mdel letter at appendix 13). If there is a case t answer the emplyee will be required t attend a disciplinary hearing (see mdel letters at appendices 14a) and b). 9 DISCIPLINARY HEARING 9.1 The purpse f the hearing is t cnsider the evidence presented by bth parties, t enable the Presiding Officer (see scheme f delegatin at appendix B in the plicy) t decide what actin, if any, t take. Guidance n preparing fr a hearing is at appendix 7 f the tlkit. 9.2 Where a frmal disciplinary hearing is t take place, the emplyee will receive written ntificatin frm the manager/presenting Officer at least 10 wrking days in advance including details f the allegatin/s and an indicatin f whether the allegatins are cnsidered ptentially grss miscnduct r if the emplyee already has a live final written warning and therefre whether a sanctin up t dismissal may be cnsidered (see mdel letters at appendix 14a) and b). 9.3 The suitability f the venue and arrangements fr the hearing shuld ensure cnfidentiality and equality f access making any reasnable adjustments fr an emplyee r their representative with a disability t fully participate in the hearing. 9.4 The emplyee will be given cpies f dcuments that will be relied upn at the hearing (knwn as the bundle see guidance n preparatin f bundle at appendix 8) where pssible with the meeting ntificatin letter but at least 5 wrking days prir. Fr example: Investigatin reprt. Cpies f (r a summary f) any statements btained as part f the investigatin. Ntes f any investigatry interview(s) they attended. Names f any witnesses wh will be attending the hearing.
9.5 The emplyee must submit any papers fr cnsideratin by the panel at least 7 wrking days prir t the hearing allwing fr an exchange f any final papers fr the hearing at least 5 wrking days in advance f the hearing. 10 ATTENDANCE AT THE HEARING 10.1 The emplyee is required t take all reasnable steps t attend hearings. If they are unable t attend fr gd reasn they shuld ntify the nminated cntact as sn as pssible and a further hearing date will be arranged, usually rearranged nly nce within 5 wrking days. If fllwing a reasnable attempt t re-arrange the hearing the emplyee is still unable t attend, the hearing may be held in their absence, based n written submissins r their representative may attend in their absence if required. If they fail t attend withut explanatin r gd reasn the hearing may g ahead in their absence. 10.2 Shuld the emplyee be unable t arrange representatin fr a hearing, a further date will be arranged, within 5 wrking days f the riginal date usually. If the emplyee is unable t arrange representatin fr the re-arranged hearing, the hearing will prceed in the absence f the representative. 10.3 If exceptinally the schl has t re-arrange the hearing, a new date will be arranged withut undue delay and within 5 wrking days usually. 10.4 The persn arranging the hearing will arrange fr a nte-taker t take summary ntes at the hearing. 10.5 Where the Investigating Officer is nt acting as Presenting Officer they will nrmally attend the hearing in the capacity f a witness. This will prvide an pprtunity fr the facts f the case t be clarified and fr bth parties t questin the detail and findings f their reprt. 10.6 Bth parties have the right t call witnesses where relevant; they shuld nly be present t give evidence and be questined. They shuld be reminded abut cnfidentiality and nt t cllude with ther witnesses. Details shuld be cmmunicated t bth parties in advance and signed and dated witness statements shuld be prvided by bth sides, wherever pssible. The emplyee is respnsible fr rganising their wn witnesses additinal guidance is cntained within appendix 7. 10.7 An HR Adviser will attend the hearing in mst circumstances t supprt the Presiding Officer. Where the lcal authrity is the emplyer (i.e. Cmmunity and Vluntary Cntrlled schls) if dismissal is a ptential utcme, the HR Advisry team must be infrmed f the meeting and given an pprtunity t attend. 11 PROCEDURE AT THE DISCIPLINARY HEARING 11.1 The hearing will be cnducted in accrdance with the prcedure at appendix BB. 11.2 If a brief adjurnment is required it shuld be pssible t recnvene n the same day, hwever if further infrmatin/a lnger adjurnment is required it may be necessary t arrange anther date, if s this will take place within 5 wrking days usually. 11.3 Overlap with dispute reslutin prcedure where a grievance/dispute has been raised cnnected with the disciplinary matter, this will be heard at the disciplinary hearing; further investigatin may be necessary befrehand. An emplyee will be given the pprtunity f raising their cncerns when they state their case; there will nt be a separate hearing. During the hearing, if it is apparent that further investigatin is required, it may be necessary t adjurn/arrange anther hearing date withut undue delay.
12 DISCIPLINARY OUTCOMES 12.1 In determining the utcme, cnsideratin will be given t all representatins and then the Presiding Officer will decide whether, n the balance f prbabilities the allegatin/s are prven and if s, what level f sanctin is apprpriate. Cnsideratin will be given t: The gravity f the ffence and any explanatin given/any mitigatins. The emplyee s previus cnduct recrd. Actins taken in similar cases. The emplyee s length f service. Whether the actin cnsidered is prprtinate and reasnable in the circumstances. 12.2 The penalties available t the Presiding Officer f any disciplinary hearing are detailed belw althugh this list is nt exhaustive. Als, it is gd practice t cnsider any wider actins/implicatins fr the schl. 12.3 N further actin N further actin will be taken where there is n case t answer r the emplyee is nt fund t be culpable. Hwever, in sme cases it may be apprpriate t issue advice and guidance (see 2.2-2.4). 12.4 Frmal actin - penalties 12.4.1 Written warning A written warning will be apprpriate where the cnduct f the emplyee has fallen belw acceptable standards and infrmal guidance has nt resulted in sufficient imprvement r where the ffence is sufficiently serius t justify an immediate frmal penalty. 12.4.2 Final written warning A final written warning is apprpriate where:- The cnduct f the emplyee cntinues t fall significantly belw acceptable standards and previus warning(s) have nt resulted in sufficient imprvement. The miscnduct is s serius that a first and final written warning is apprpriate. Dismissal is a clear pssibility, but significant mitigating circumstances are accepted. 12.4.3 Dismissal Dismissal will be cnsidered where there has been grss miscnduct r where the emplyee has a current final written warning and further miscnduct r unsatisfactry cnduct has taken place. Dismissal with cntractual ntice Unless an emplyee is dismissed fr grss miscnduct, the apprpriate perid f ntice must be given (i.e. if dismissal is as a result f a series f warnings). Dismissal withut cntractual ntice (summary dismissal) Actins f grss miscnduct will, except in the mst exceptinal circumstances, justify dismissal withut ntice. 13 CURRENCY OF WARNINGS 13.1 Any warning applied will remain n the emplyee s file but will nly be regarded as live fr further disciplinary purpses fr a specified perid f time (see table belw) after which time it will nrmally be disregarded fr disciplinary purpses. The exceptin t this will be in
circumstances where the same type f miscnduct becmes a pattern which is repeated every time a warning expires. In these cases, the circumstances f previus warnings shuld be taken int accunt in deciding n what further actin is apprpriate. The spent warning will be retained n file as part f the emplyment recrd, in accrdance with the ACAS cde f practice, althugh it will nt be taken int accunt in determining the level f penalty. 13.2 Exceptinally, there may be circumstances where the miscnduct is s serius that it cannt realistically be disregarded fr future disciplinary purpses. Fr example, where the miscnduct falls within the dealing with allegatins f abuse against members f staff and vlunteers plicy. 13.3 All safeguarding cases will be recrded n emplyee s files indefinitely Warning level Written Final written Live perid (frm date f issue) 12 mnths 24 mnths 14 HEARING OUTCOME 14.1 Whether r nt the emplyee has been infrmed f the utcme f the disciplinary hearing rally at the hearing, the emplyee will be ntified f the utcme f the disciplinary hearing in writing within 5 wrking days f the hearing. 14.2 (Include fr Vluntary Aided, Fundatin schls and Academies) In the case f recmmended dismissal, the utcme letter will be sent by the Chair f the Trustees as the legal emplyer. 15 RIGHT OF APPEAL 15.1 An emplyee may appeal against a decisin t issue them with any level f frmal disciplinary penalty. The reasn fr appeal can be ne f the fllwing:- There was a defect in the prcedure which had a material effect n the decisin. Nt all evidence was cnsidered r prper accunt was nt taken f evidence referred t at the hearing. The sanctin/decisin was t severe. New relevant evidence relating directly t the allegatin/s has cme t light since the last hearing. 15.2 An emplyee seeking t appeal must d s within 10 wrking days f written ntificatin f the decisin. The emplyee shuld send their letter f appeal tgether with the grunds f appeal t the persn named in the letter cnfirming the utcme f the hearing.
16 APPEAL HEARING 16.1 Once a written appeal has been received, an appeal hearing will nrmally be cnvened withut unreasnable delay allwing at least 10 wrking days written ntice t the emplyee (r shrter if agreed) nting their right t be accmpanied (see mdel letter at appendix 15). 16.2 The hearing will take the frm f a review f the decisin and nt a re-hearing f the case, unless exceptinally determined by the Appeal Hearing Presiding Officer that it will be a rehearing. Fr example, in the case f a dismissal, if new infrmatin is prvided which was nt available t the Presiding Officer f the riginal hearing and which is likely t impact n the decisin. Otherwise, the appeal will be cncerned with whether the decisin taken was reasnable in light f all f the circumstances and evidence prvided at the hearing. The emplyee will be infrmed f this in the appeal invitatin letter als. See cnduct f appeal hearing at appendix CC f the prcedure. 16.3 The Presiding Officer (Appeal) will nt be the riginal Presiding Officer, have nt acted as a witness in the case r have been invlved in the case in any material sense. 16.4 Cpies f any dcuments relevant t the case including dcuments which were nt prvided at the riginal hearing and which are intended fr cnsideratin at the appeal hearing will be exchanged at least 5 wrking days in advance f the hearing. 16.5 Bth parties have the right t call witnesses where relevant t the grunds f the appeal. This shuld be cnfirmed with the Presiding Officer (Appeal) in advance f the Appeal hearing. 16.6 If the emplyee is unable t attend the hearing due t reasnable circumstances ut f their cntrl, a further hearing date will be ffered. If the emplyee fails t attend withut gd reasn r is unable t attend a re-arranged hearing, the hearing may be held in their absence based n their written submissins. Their representative may attend n their behalf in their absence. 16.7 The emplyee can pt nt t attend the appeal hearing and their representative can attend n their behalf r they can make a submissin in writing (t be received 5 days in advance f the hearing). 16.8 The Presiding Officer (Appeal) will reach findings based n dcumentatin and the submissins frm all parties. They have a brad discretin in terms f their findings. They may uphld all r part f the decisin f the hearing, revke it in its entirety, substitute a lesser penalty r may determine that a re-hearing is necessary. 16.9 The decisin f the Presiding Officer (Appeal) will be final. 16.10 A successful appeal against dismissal will result in the emplyee being reinstated and their cntinuity f emplyment preserved. Back pay will als be applicable in such circumstances. 16.11 A letter cnfirming the utcme f the appeal hearing will be sent t the emplyee within 5 wrking days.
APPENDIX AA FLOW-CHART Disciplinary prcedure * T be read in cnjunctin with the full prcedure Allegatin/s cme t light Manager cnducts preliminary investigatin N further actin Prgress infrmally Infrmal meeting/ advice issued Prgress frmally IO appinted & initial meeting Cnsider suspensin Issue reslved? Allegatins cnfirmed in writing Yes N Frmal investigatin cnducted IO reprts findings/ recmmends case t answer /nt Manager determines case t answer /nt N Yes N further actin Infrmal actin/ advice issued Disciplinary hearing Outcme cnfirmed in writing Pssible appeal
APPENDIX BB CONDUCTING THE DISCIPLINARY HEARING Fr preparatin see separate guidance at appendix 7 Advice can be sught frm the HR Adviser supprting the Presiding Officer ahead f the hearing and at any stage. In general terms, the fllwing frmat will be adpted:- The Presiding Officer (Chair) arranges fr the parties t enter and t take their designated seats. The Chair cnducts intrductins, checks that all parties have the same dcuments, explains the prtcl fr the hearing and respnds t any initial prcedural questins. The Presiding Officer and the HR Advisr t the Presiding Officer can ask questins at any time. Management case The Presenting Officer presents the case against the emplyee. The emplyee/representative may questin the Presenting Officer. The Presiding Officer/HRA in attendance may questin the Presenting Officer. The Presenting Officer calls in and questins any witnesses r reads frm any witness statements. The emplyee/representative may questin the management witnesses. The Presiding Officer/HR Adviser in attendance may questin the management witnesses. Each management witness withdraws after their questining has been cmpleted. Emplyee s respnse The emplyee/representative presents their case in respnse t the allegatins. The Presenting Officer may questin the emplyee. The Presiding Officer/ HR Adviser in attendance may questin the emplyee. The emplyee/representative calls in and questins any witnesses r reads frm any witness statements. The Presenting Officer may questin the emplyee s witnesses. The Presiding Officer/HR Adviser in attendance may questin the emplyee s witnesses. Each emplyee witness withdraws after their questining has been cmpleted. Summing up The Presenting Officer summarises the management psitin. The emplyee/representative summarises their psitin. Bth parties withdraw. The Presiding Officer will make their decisin with prcedural advice frm the HR Adviser. Bth parties are recalled. The Presiding Officer reads ut their decisin. This is cnfirmed in writing t the emplyee and shuld be recrded in the transcript f the hearing. The Presiding Officer brings the hearing t a prmpt clse, withut further discussin r debate. The emplyee will be advised f their right f appeal against the decisin and the timescales fr its submissin.
APPENDIX CC - GUIDANCE ON CONDUCTING AN APPEAL HEARING Fr preparatin see separate guidance at appendix 7. Advice can be sught frm the HR Adviser supprting the Presiding Officer ahead f the hearing and at any stage. In general terms, the fllwing frmat will be adpted:- The Appeal Presiding Officer (Chair) arranges fr the parties t enter and t take their designated seats. The Chair cnducts intrductins, checks that all parties have the same dcuments, explains the prtcl fr the hearing and checks/respnds t any initial prcedural questins. The Presiding Officer (Appeal) and the HR Advisr t the Presiding Officer (Appeal) can ask questins at any time. The gvernrs panel shuld nt meet with either the emplyee r management side befre the appeal hearing, nr discuss the case, t avid any allegatins f cllusin. Summary f prcedure Cnfirm that the purpse f the hearing is t review the decisin taken n <date> t XXXXXXXXXXXXXXXXXXXXXXX and whether that was a reasnable decisin t take in the light f the evidence presented at the disciplinary hearing. Due regard will be taken f the grunds fr appeal as set ut in the individual s letter f <date>. Emplyee s case Presiding Officer Chair will ask the emplyee/representative t present their case t the panel including calling witnesses. (Nte that witnesses must be relevant t the appeal and intrduce n new infrmatin. They can be asked t wait and may be called back). The Presenting Officer (Appeal) will have the pprtunity t ask any questins f the emplyee. The Presiding Officer (Appeal)/HRA will have the pprtunity t ask questins f the emplyee/representative. Management respnse The Presenting Officer fr the appeal will lead the management respnse. If this is nt the Chair f the riginal hearing panel, they can be called as a witness. Chair will ask Presenting Officer (Appeal) t present management s case including calling witnesses. (Nte that witnesses must be relevant t the appeal and intrduce n new infrmatin. They can be asked t wait and may be called back). The emplyee/representative will have the pprtunity t ask any questins f the Presenting Officer (Appeal). The Presiding Officer/HRA will have the pprtunity t ask any questins f The Presenting Officer (Appeal). Summing up Chair will ask Presenting Officer (Appeal) t sum up management s case. Chair will ask emplyee/representative t sum up the emplyee s case; the emplyee/representative shuld have the last wrd.
Adjurn fr decisin Chair will then ask all parties except Presiding Officer/ HR Advisr t leave the rm in rder fr the Presiding Officer t deliberate. Shuld the Presiding Officer need t recall any party t clarify any pints, bth parties will be invited t return. Bth parties will be asked t return where a decisin will be given verbally if this is pssible decisin then cnfirmed in writing within 5 wrking days. The individual shuld be tld that they have n further right f internal appeal.