Disciplinary Appeal Hearing Guidance (Checklist)

Ensure any appeal is held promptly and by a manager who is more senior to the disciplinary manager, or who has the authority to overturn the decision, and who was not involved in the original decision if practicable.

Read the decision letter and any other relevant documents and take a copy along to the meeting in case of the need to refer to it. 

Check the rules and procedures.

Invite the employee to the appeal hearing.

INTRODUCTION

Say the following points- ASK THE NOTETAKER TO RECORD THESE POINTS- the easiest way is to give them a copy so they only have to record the answers and they can remind you if you miss one. 

1. Introduce those present and their Roles- yourself; the companion (check name if unknown); the note taker; anyone else present.
2. If no companion say “I see you have chosen to be unaccompanied, are you happy to proceed on that basis”. If they say it was because their chosen companion was not available ask if they want to postpone as they have a right to do so for up to 5 working days for this reason.
3. If they have a companion explain they can help present their case and adjourn to confer. Much more leeway can be given to the companion in an appeal meeting but they should not answer a direct question to the employee, particularly in a discipline appeal.
4. Mobile phones – ask them to turn off their phone and place it on their table. This is to avoid covert recording. You may be more comfortable in allowing them to record the appeal meeting than at a disciplinary hearing.
5. Notes – tell them they will be given a copy of management notes to check for accuracy and that they may take their own notes if they wish. Ask for a copy if they do, but you cannot insist on this.
6. Explain the meeting is their opportunity to say why they believe the disciplinary or grievance decision is wrong or unfair. This could be on many grounds, but the common ones are:
   1. There are procedural faults
   2. New evidence has come to light, 
   3. The decision is too severe (disciplinary appeals) or is inconsistent with the decision in the case of other employees.
   4. The decision is perverse based on the evidence
   5. The disciplinary manager is biased
   6. A disciplinary appeal may either be a review of the disciplinary sanction or a re-hearing depending on the grounds of the appeal.
7. Sometimes an employee raises a grievance following a disciplinary decision but complaints about the disciplinary procedure should be covered in the appeal.  Any new head of complaint in a grievance should be the subject of a new grievance.
8. If they have given details in their appeal letter explain that it their opportunity to expand on the reasons set out in their letter.

9. Ask if they have any questions at this stage.

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