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For Appeals Managers, HR Advisors, Contracts
Managers & the Appeals Allocation duty only.
NOT FOR GENERAL CIRCULATION
@
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CONTENTS
SECTION
1 Introduction
2 The Appeals Procedure
Types of Appeal
Appeals Managers
Allocation Process
3 Standards for Appeals Managers
Responsibilities
Handling an Appeal
Post Office Legal Services
Employment Tribunals
Appendices
Appeals Process - Flow Chart
Appeal Case Summary - Employee
Appeal Case Summary - Agent
Agent Case Summary Index to Papers
oat
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1. Introduction
These guidelines have been produced for three target audiences -
a New and existing Appeals Managers
a The Appeals Allocation Duty at the People & Organisation Service
Centre
a_ HR Advisors, Contracts Managers and those who are involved in
the administration of the Appeals process
The Purpose of these is -
a To clarify who will be involved within the Appeals process and
their responsibilities.
a To support existing and new Post Office Ltd Appeals Managers.
a To outline the support available from Post Office Legal Services
(POLS)
a To provide information about Employment Tribunals
PO Ltd to date has maintained a professional and reliable approach
to appeals and consequently our legal track record is very good.
These guidelines aim to assist you in maintaining our current quality
standards.
2. The Appeals Procedure
2.1 Types of Appeal
There are a number of people processes with in-built rights of
appeal at the appropriate stage. This section will define when a right
of appeal to the National Appeals Panel exists and dispel some of the
more common misunderstandings about the right of appeal and
individual rights.
2.1.1 Employee Appeals
Appeals to the National Appeals Panel
Absence - There is a right of appeal if service is terminated because
of an individual's attendance record. However, an employee does also
have a right of appeal for medical retirement in the first instance
and this must be progressed by Human Resources before any
referral to the Appeals Allocation Duty.
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Underperformance - There is a right of appeal if a Second Line
Manager decides to downgrade an individual, or to terminate their
employment as a result of managerially unacceptable performance
following the application of the managing underperformance
procedure.
Conduct - If the Final Warning has an associated penalty, which
involves a loss of pay, (e.g. downgrading, or dismissal from
employment), then the National Appeals Panel will deal with the
appeal. In addition, an individual will have a further right of appeal
if the outcome of the original appeal resulted in a non-dismissal
penalty being increased to dismissal.
Issues handled within the Unit
Resourcing - There are no rights of appeal against an external
recruitment/ internal appointment decision. However, if an employee
feels that the correct Equal Opportunities and Resourcing policies
have not been followed then they can raise a complaint under the
Grievance Procedure through their line manager. An external job
applicant has no rights under our procedures, but any complaint of a
breach in these, especially equal opportunities, must be fully
investigated by the territory/ business unit.
Appraisals - There are no rights of appeal, but an employee can
make a grievance complaint if they feel the correct process has not
been adhered to.
Grievance procedure - There is no right of appeal after the Third
and final stage of the procedure.
Harassment - Once a formal harassment investigation has been
completed, the complainant will have the right to an appeal if their
complaint is not upheld. An independent manager, who has not
previously been involved in the investigation, will be appointed and
he/she will provide a final decision, which is not subject to further
appeal. If however, any of the parties involved within the complaint
feel that Post Office Ltd people processes have not been adhered to
by the investigator, then they can make a complaint under the
Grievance procedure.
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Conduct - Tf an employee is awarded, as a result of conduct
charges, a Formal or Final warning, then they can appeal against this
decision which is handled by the line. Generally, the Second line
manager would deal with a Formal warning and the Third line manager
with a Final warning.
2.1.2 Agents
Appeals to the National Appeals Panel - Subpostmasters
Summary termination of Contract - An appeal by a subpostmaster
against the summary termination of their contract, will be dealt with
by the National Appeals Panel.
Tssues handled within the unit - Subpostmasters
Termination of contract, with notice - There is no right of appeal
against the termination of the contract with three months notice.
2.2 Appeals Managers
2.2.1 Recruitment of Appeals Managers
Appeals Managers are recruited as and when a need is
identified to increase or replace members of the National
Appeals Panel. When a need is identified, the Appeals Policy
Owner will approach the relevant population of potential appeal
managers to identify those with the correct skills and
attributes to join the panel. The Appeals Training course is not
available through the PDP process.
Once a person has been nominated for training they will be
asked to complete a self-assessment, before commencing
training.
All Appeals Managers must be Senior Managers.
2.2.2 Training
The Appeals Training Course is a three-day course run by
Learning & Assessment Services. The course is intensive and also
involves a significant amount of practical work including a variety
of case studies. The course is assessed and only those who pass
this course will be allowed to join the National Appeals Panel.
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2.2.3 Commitment
All members of the National Appeals Panel are required to hear
at least four appeals every year.
Conditions
a An Appeals Manager may complete several appeals at one time.
e.g. if a major case arises within one office.
a There may be some quarters of the year when it would be
impossible for an Appeals Manager to undertake appeals hearings.
e.g. during pay negotiations, or a go live scenario on a major
project. Appeals Managers who are so affected, are still asked to
make up their quota of appeals per year.
a Some Appeals Managers will undertake appeals on a continuous
rolling basis. This is greatly appreciated and is vital in maintaining
the process to reasonable timescales.
2.3 Allocation Process
See Appendix 1 for the flow chart of the Appeals Process
2.3.1 Responsibilities of the HR Advisor / Contracts Manager
1. To immediately notify the Appeals Allocations Duty at the POSC
of an Appeal. This will be done by forwarding (electronically) the
appropriate case summary document - see appendix 6.2 & 6.3.
The HR Advisor / Contracts Manager will need to indicate to the
Allocation Duty if the appeal is of a particularly complex nature
requiring specific expertise, or depth of experience from the
Appeals Manager.
2. To acknowledge the appeal and reassure the individual that they
will be contacted as soon as possible by a member of the National
Appeals Panel. Ensure that effective communication with the
individual is maintained.
3. Immediately after an Appeal is received, to put all the relevant
papers together ina tabulated format for ease of reference. An
example Agents case index is included in appendix 6.4. The case
summary, which should have already been forwarded to the
Appeals Allocation Duty, should be included. When a conduct case
arises out of an investigation relating to another process, e.g. a
harassment complaint, then ALL the case papers pertinent to the
individual's case must be included.
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4. To check the case, so that no apparent process issues exist. If an
error within the process is discovered, the HR Advisor should
endeavour to resolve this locally before sending the papers to the
Appeals Manager. If it cannot be resolved, then the issue should
be flagged for the attention of the Appeals Manager.
5. The Appeals Allocation Duty will notify the HR Advisor /
Contracts Manager by return electronically of the case summary
with section 12 completed (Name of Appeals Manager appointed,
date and location). The HR Advisor / Contracts Manager will then
forward to the Appeals Manager all the case papers. This should
be done by a secure method of post.
6. The Appeals Manager will be provided with whatever assistance
they might require and this must be done promptly and
professionally. Generally this will be a request for interviewing
accommodation and for a note taker to assist at the appeal
hearing. However, it could also be a requirement for additional
papers, or for an approach to the Employee Health Service.
7. On the conclusion of the case, the Appeals Manager will return all
the papers, including those pertinent to the appeal, to the HR
Advisor /Contracts Manager. The HR Advisor / Contracts
Manager should then check these to ensure that:
a A decision has been communicated to the individual.
a That the Appeals Manager has handled the case in line with
their responsibilities - see section 3 of these guidelines.
a They feedback any improvement opportunities identified
by the Appeals Manager within their report. If these are
local issues, then the improvements should be put in place.
If there are national policy implications, these will be
addressed by the policy owner-see 8 below.
8. The HR Advisor will complete sections 15 to 18 of the Employee
Case Summary, or Contracts Manager will complete sections 15 to
18 of the Agent Case Summary form and send this to the Appeals
Allocation Duty who will then update the Appeals Database. A
copy of the Case Summary should also be forwarded to the
Appeals Policy owner (Colin Stretch) in order that any
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improvement opportunities can be implemented at a national level
if appropriate.
9. To act as the interface with Post Office Legal Services (POLS) in
the event of an Employment Tribunal claim, promptly providing
support as requested. The Appeals Allocation Duty should be
notified if an appeal becomes the subject of a Tribunal claim.
10. An ongoing responsibility will be to action nominations for senior
managers to be trained as Appeals Managers. (See section 2.2.1)
2.3.2 Responsibilities of the Allocations Duty within the POSC
1. To maintain the list of Appeals Managers on the National Appeals
Panel, including details of scheduled availability.
2. To ensure that Appeals Manager's comply with the requirement to
hear a minimum of four appeals per year.
3. When 2 is not met, to discuss with the individual and the Appeals
Policy Owner to consider reallocation of time or possibly removal
from the panel.
4. Ask the investigating officer if prosecution is actively
considered. If this is the case ‘fast track’ the appeal. In these
cases, if an Appeals Manager is not found within five working
days, seek assistance from Appeals Policy Owner.
5. Once the Appeal is received, to confirm by telephone or e-mail
allocation of the appeal with an Appeals Manager, ensuring that
they are totally independent, that is with no connection to the
area or the people involved in the appeal. Care should also be
taken to minimise travel commitments, i.e. it is acceptable for
Appeals Managers to hear appeals in the area adjacent to their
own. The actual allocation will be by forwarding the case summary
electronically, with a return receipt to guarantee delivery.
6. To notify the unit with the appeal, by completion and return of
section 14 of the case summary, as to the name and location of
the Appeals Manager, and the date of allocation.
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7. To maintain the Appeals database and to provide a detailed
summary to the Appeals Policy Owner every month.
8. To provide statistical information when required by the Policy
Owner.
9. To highlight any issues to the Policy Owner.
2.3.3 Responsibilities of the Appeals Policy Owner
1. To maintain and update the appeals policy.
2. To respond to all queries regarding any aspect of the appeals
policy.
3. To maintain and update the PO Ltd Appeals database.
4, Implement any improvement opportunities at a national level.
5. To act as Post Office Ltd's representative at meetings of Service
Delivery Appeals Managers, which Parcelforce also attend. To pick
up and progress any relevant issues.
6. To act as the administrative interface with POLS, communicating
all relevant information to Appeals Managers and Appeals
Allocation Duty via the Appeals Database.
7. To manage the self assessment process for Appeals Manager
nominations and to initiate, when required, new Appeals Manager
Training courses.
8. To act as communications interface with all Appeals Managers on
the National panel to ensure they are kept up to date with
pertinent information/legal developments.
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3. Standards for Appeals Managers
As the title suggests, this section is to assist both Appeals
Managers and HR Advisors in defining responsibilities, building upon
training and experience and emphasising the support that exists
within the process to assist with unfamiliar situations.
3.1 Responsibilities of Appeals Managers
1. To deal with a case as quickly as possible and within a time period
of no more than 8 weeks from the date of allocation. However, if
there are exceptional circumstances or anything requiring
extensive further investigation necessitating a longer period, the
appellant must be notified of any delay, and the reason(s) for this
delay, at the earliest opportunity. Appeals Managers must maintain
professionalism at all times.
2. Ensure that all the relevant parties are kept informed as to your
progress and likely timescale for you reaching a decision.
3. To take a fresh independent look at the appeal case.
To investigate pertinent matters of fact.
5. To ensure that the rights of the individual, who is making the
appeal are observed. (These rights are outlined within the Post
Office Ltd Conduct Code and in the Subpostmaster contract.
Appeals Managers should ensure that they are fully conversant
with these documents).
6. To ensure that as far as is possible any earlier procedural defects
are corrected.
7. To ensure that the individual has been provided with all the
necessary documentation pertinent to their case.
8. To come to honest and impartial judgements.
9. To fully document in a methodical, orderly manner, all
investigations, interviews and your thought process in reaching
conclusions. It is essential that a high level of documentation be
maintained, as this will undergo rigorous examination at any
Employment Tribunal hearing.
10. To provide feedback to Business Units to improve the
professionalism with which serious conduct cases are handled.
11. To provide visible proof of the integrity and professionalism with
which Post Office Ltd handles sensitive issues concerning its
employees and agents, in line with our vision.
12. To act as a witness at any subsequent Employment Tribunal
proceedings.
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3.2 The Handling of an Appeal
Case papers will be audited by HR Advisors to ensure that
professional standards are maintained.
Essential steps:
1. Appeals Manager receives the case papers from the HR Advisor /
Contracts Manager for the Area in which the appeal has arisen.
2. Read all the papers carefully to ensure that:
a They are complete.
a There has been an adequate investigation.
a There are no apparent procedural defects.
a Note if the bundle is not in a satisfactory condition it should
be returned to the appropriate manager to put in to order-
papers should be ordered chronologically and be complete
with an index.
3. Decide how to deal with any problem areas.
4. Deal sensitively with any approaches at the outset on behalf of the
individual by their union representative.
5. Make arrangements with the appropriate manager for a date, time
and location for the hearing. Also request assistance with note
taking, if required.
6. Write to the individual inviting them to the appeal hearing and
either enclose an explanation of the appeals procedure, or refer
them to the Post Office Ltd Conduct Code/Attendance
Guidelines/ Managing Underperformance Guidelines/
Subpostmaster's Contract, as appropriate. (See model letters in
Appeals Guidelines)
7. Be sympathetic to any reasonable request for an adjournment to an
alternative date.
8. Hold the appeal being sympathetic, but neutral, to the individual.
Your job is to gather sufficient evidence to enable you to reach a
reasoned decision. You should not attempt to defend the original
decision, as you are taking a fresh and impartial look at the case.
9. Send the individual a copy of the notes of the interview and seek
any comments that they might like to add.
10. Undertake all necessary investigations.
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11. Ensure the individual has the opportunity to comment upon any new
evidence that arises as a result of the further investigations.
12. Weigh all the evidence, record conclusions and make a
reasoned decision on the balance of probabilities. The thought
process in reaching the decision should be fully documented.
13. If the charge is found to be substantiated, examine the gravity of
the misconduct and any mitigating evidence, document the logic and
decide upon a reasonable penalty in line with the relevant code, or
Subpostmaster's Contract.
14. An Appeals Manager can find the case against the individual proven,
but disagree with the original penalty. For an employee under the
Conduct Code your options are:
a Confirm the original penalty
a Reduce the original penalty
a Increase the original penalty
If however you increase a non-dismissal penalty to dismissal, then
the individual will have a further right of appeal against this
decision. In any other circumstances the decision of the Appeals
Manager is final. There are no further internal processes to
contest an appeal decision, though an employee can lodge a
grievance if they feel that the Appeals Manager has failed to
follow the correct Appeals process, as defined in Post Office Ltd
Conduct Code. The individual may have external recourse to an
Employment Tribunal, but that is an issue no one should get involved
in, as it is a decision for the individual. We should not seek to
encourage Tribunal claims.
For an agent the options are:
a Uphold the decision to terminate their contract
a Reinstate their contract
15. Notify the individual, their representative and the originating
business unit of your decision. The individual needs to be given only
brief reasons as to why you have reached your decision and there is
no requirement to defend it to them.
16. Return all the papers, together with a full report of the appeal to
the HR Advisor / Contracts Manager. The report should cover:
a The approach taken.
a Documented action prior to the appeal.
a The notes of the appeal interview and any further
comments made by the individual.
Details of subsequent investigations.
Conclusions reached and how.
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a The decision.
a Copies of all correspondence.
a Any identified improvement opportunities/ learning
points.
17. Be prepared to work with POLS if the individual makes a claim to an
Employment Tribunal and to act as a witness at any subsequent
legal hearing.
3.3 The Rights of the Individual
The PO Ltd Conduct Code, Attendance Guidelines and Managing
Underperformance Guidelines and the Subpostmaster's Contract
fully document the rights of the individual.
Appeals Managers are however reminded that there are rules of
natural justice, which require that:
a_ The appellant should know the case against them. This means
that the charge must be specific and the evidence against them
made Known to them.
a The appellant should have the chance to state their case.
a There must be no bias in the appeals proceedings.
As the name suggests, the Employment Law division of POLS exists
to advise on all matters relating to employment law, e.g. Contracts,
terms and conditions of service, redundancy, TUPE etc.
They are always available to assist with general enquiries relating to
conduct matters, including appeals, but of course the first contact
point for all line and Appeals Managers is PO Ltd's Employee Support
Managers or Industrial Relations Team (Colin Stretch, Gerry
Kennedy and Jane Smith-Bodden).
Legal services will handle all the aspects of an Employment Tribunal
claim, working closely with all the relevant internal parties involved -
dismissing manager, Appeals Manager and HR Advisor / Contracts
Manager.
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The Employment Law Division are based in Impact House, Croydon
andareavailableonI == GRO
Employment Tribunals
5.1
5.2
Purpose of Employment Tribunals
These were established to provide easy, quick access to justice for
employees and to function in an informal manner, thus enabling the
individual to present their own case ina non intimidating
environment. Tribunals are still comparatively informal, although
increasingly they are having to deal with more complex legal issues
which necessitate greater formality.
Employment Tribunals deal with complaints of unfair dismissal, sex
and race discrimination, dismissal on the grounds of disability and
other employment matters.
Legal Aid is not currently available for tribunal proceedings. Costs
are hardly ever awarded against the losing party. Under the
Employment Tribunals (Constitution and rules of Procedure)
Regulations 2001 (with effect from 16 July 2001), tribunals will be
under a duty to consider an award of costs if proceedings are
brought which have no reasonable prospect of success. Costs awards
will also take into account the behaviour of a party's representative.
The maximum award of costs is now £10,000.
As already stated tribunals are for dealing with disputes between
employers and employees, workers or certain office holders, and
hence do not apply to agents. Occasionally, however, a subpostmaster
will lodge a tribunal claim on the contention that he/she is an
employee or worker. There is now settled case law that
subpostmasters are not employees or workers who work under a
contract of service. In these instances, Legal Services or their
external suppliers/agents will take the necessary steps to defend
such claims.
Timescales
Under the Employee Relations Act, an employee can make a claim of
unfair dismissal if they have a minimum of one year's service at the
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date of dismissal. A claim to an Employment Tribunal should then be
made within 3 months of the last day of service. (A Tribunal has
discretion to extend this time limit.)
There is no minimum service criteria for a discrimination claim. Such
claims must be lodged within 3 months of the act complained of
(again subject to the Tribunal’s discretion to extend the time limit)
and Tribunals may accept in evidence, incidents which occurred
before 3 months of the date of the claim.
5.3 Composition
There is a Chairperson who can deal with some claims sitting alone.
Usually however, two other panel members, one of whom is
nominated by an employer's organisation and the other by trade
unions, will accompany them. The Chair is a lawyer to ensure legal
processes are adhered to, the other members provide practical
experience and judgement from both sides of industry.
5.4 Points in an Unfair Dismissal Claim
In order to bring an unfair dismissal claim, the applicant must be
able to show that:
a) he/she was employed by the Respondent, and for the necessary
minimum qualifying period;
b) that he/she was dismissed. (Not usually an issue, although it can
be where an individual is claiming constructive dismissal.)
Once the fact of dismissal has been established, the employer must
show:
1. what was the reason for the dismissal;
2. that it was one of the potentially fair reasons set out in s.98
Employment Rights Act 1996;
3. that the dismissal was fair in all of the circumstances.
5.5 Process
1. Dismissed employee submits a form ET(1) to the tribunal. This
must be within 3 months of the last day of service.
2. Employer responds on form ET(3) within 21 days of receiving ET1
claim. This will be actioned by POLS (who must be provided with
the ET1 claim and background papers as soon as possible).
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3. ACAS will offer to conciliate.
4. Any interlocutory hearings take place, e.g. directions hearings,
pre-hearing reviews where there appears to be no reasonable
prospect of success for the claim.
5. The hearing is held. If the Applicant is successful, the Tribunal
may deal with the issue of remedies at the full, merits hearing or
else there may be a separate remedies hearing.
5.6 Remedies for an Unfair Dismissal Claim
1. Reinstatement - The employee returns to the same job. All loss
of earnings to be paid as though the individual was never
dismissed less any interim earnings, state benefits received, etc.
However, a tribunal cannot force an employer to reinstate an
individual. If the employer refuses, then the tribunal may award
additional compensation.
2. Re-engagement - Employee returns to a different job, possibility
on different terms. Loss of earnings will probably be paid. As
with reinstatement, there is no compulsion for an employer to re-
engage an individual; again in the event of a refusal, additional
compensation may be awarded.
3. Compensation - Under the Employee Relations Act the maximum
compensation is now (from 1 February 2005) £56,800 for unfair
dismissal, index linked. There is no ceiling on compensation
amounts for discrimination claims. Compensation may be reduced
if the employee has failed to follow the full internal procedures,
e.g. not undertaken or completed the appeal process, and where it
can be shown that although the dismissal was unfair, the
employee was party to blame.
5.7 Appeals
An appeal can only be made on a point of law or, exceptionally, where
a decision was perverse. Thus the right to appeal is very limited. The
Employment Appeal Tribunal hears appeals. From there appeal lies to
the Court of Appeal, the House of Lords and the European Court of
Justice.
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Appendix 6.1
Appeals Process Map
- an . Perma aay I Appeal Aaon
‘ormal Ko = > feam sends case Duty allocate the
Heike ye NN Hesceeiere: MN epee I
Action takes << speal egret >IEHES <Olarian/Loes of poy/ > Appeal locaton Independant I
lecision?“ \ fermination ~ ‘usually by e-mail is ManagerI
pce the crise SLD batraslybyemat 7) apc ager I
File containing the
II Appeals Allocation
2rd Line Manager completes
z ous Duty inform the
‘case summary & passes ‘appeals papers I Personnel Advisory
papers to lcel Personnel Relevant Line retained lolly I I Team of the Appeals
Advisor & Service Centre ‘Manager will hear I Morager allocated to
for filing ‘the oppeal
‘the case
Personnel Advisory Team
send appeals popers (ve all
relevant case papers) tothe //
_/ ‘manager hearing the appeal
Investigate.
neeied2
‘Monoger hearing the
ppea il contact the
‘eppellont directly &
arrange interviews as
Notes of hearing
‘sent to appellant
Appellant is advised of I — -
outcome of investigations &
given the opportunity to Investigate.
respond
r
fering the appl
rakes Gecsion ond
documents
Copy of
‘Appeals Monitoring System
Updated
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completed Case
Summary sent fo
Appeals
Allocation Duty
Appellant & local
Personnel Advisor
informed of decsion
‘Appeals Manager completes
case summary & papers, ond I
‘returns them to the local
Personnel Advisor for filing I
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Appendix 6.2
EMPLOYEE CASE SUMMARY
APPEAL AGAINST FORMAL DISCIPLINARY ACTION
FOR COMPLETION BY THE HR ADVISOR
1_I Full Name of Employee
2 I Home Address
Postcode
Telephone (STD)
3__I Grade
4 I Official Address
Postcode
Telephone (Postline/STD)
5 I Brief Details of the Case
Is this an appeal against a Formal Warning, a
Final Warning with disciplinary action or
Dismissal? Include details of investigation
and whether this is linked to any other cases.
Also state Last Day of Service date.
Note: If the case involves discrimination,
harassment, or any other ‘significant’ issue
then the appropriate authority level MUST
be contacted should the case reach the
Employment Tribunal (ET) stage. The ET -
Authority process should be referred to by
the Appeals Manager for any case which
reaches the ET stage. For further
information on the ET process please contact
Post Office Legal Services.
6 I Details & Date of Charge
7 I Specific Details of Action taken/
reasons for decision
8_I Date of Decision
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Name & Contact No. of Manager
making decision (including Postline
STD)
10
Name & telephone contact of HR
Advisor
11
Date of submission to Appeals
Allocation Duty - POSC
12
Name and telephone contact of
Investigating Officer (obtained
from investigating notes)
FOR COMPLETION BY APPEALS ALLOCATION DUTY
13
Date received from HR Advisor
4
Appeals Manager appointed -
date/name/location
FOR COMPLETION BY HR ADVISOR
15
Date Case Completed
(ie. date of notification to appellant of
outcome)
16
Outcome
17
Improvement Opportunities
Identified
18
Subsequent Action Taken
Please ensure that all sections of this form are completed in full and
returned to the Appeals Allocation Duty as soon as possible. A copy of this
form should also be retained with the case papers and a copy sent to the
Appeals Policy owner (Colin Stretch).
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Appendix 6.3
AGENT CASE SUMMARY
APPEAL AGAINST SUMMARY TERMINATION OF CONTRACT
FOR COMPLETION BY CONTRACTS MANAGER
Full Name of Agent
Office Name & Address
Postcode
Telephone (STD)
Private Address
(If different from above)
Postcode
Telephone (Postline/STD)
Brief Details of the Case
Note: If the case involves discrimination,
harassment, or any other ‘significant’ issue
then the appropriate authority level MUST
be contacted should the case reach the
Employment Tribunal (ET) stage. The ET -
Authority process should be referred to by
the Appeals Manager for any case which
reaches the ET stage. For further
information on the ET process please contact
Post Office Legal Services.
Details of Specific charge
Date of suspension
Brief summary of reasons for
making decision to terminate
contract
Date of decision to terminate
contract
Name & Contact No. of Retail Line
Manager
10.
Name & telephone contact of
Contracts Manager
11.
Date of submission to Appeals
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Allocation Duty - POSC
12 I Name and telephone contact of
Investigation officer (obtained from
investigation notes)
FOR COMPLETION BY APPEALS ALLOCATION DUTY
13. I Date received from Contract
Manager
14. I Appeals Manager appointed -
date/name/location
FOR COMPLETION BY CONTRACTS MANAGER
15. I Date Case Completed
(ie. date of notification to appellant of
outcome)
16. I Outcome
17. I Improvement Opportunities
Identified
18. I Subsequent Action Taken
Please ensure that all sections of this form are completed in full and
returned to the Appeals Allocation Duty as soon as possible. A copy of this
form should also be retained with the case papers and a copy sent to the
Appeals Policy Owner (Colin Stretch).
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Appeals Handbook - 2001
Appendix 6.4
CASE PAPERS SUMMARY SHEET
NAME OF AGENT
INDEX TO CASE PAPERS
Facing Sheet
Item1__I Process followed & dates action taken
Item 2__I Auditor report
Item3__I RLM report on case for suspension
Item4 _I Suspension letter - 4 Oct 2004
Item5 I Memo from RLM to POSIS - 8 Oct 2004
Item 6 __I POSIS reports - 15 Oct 2004
Item 7 _I Memo from POSIS to RLM - information on investigation
Item 8 __I Formal interview letter - 8 Nov 2004
Item9__I Acknowledgement of requiring interview - 10 Nov 2004
Item 10 I Interview arrangements - 19 Nov 2004
Item 11 I Interview notes - 29 Nov 2004
Item 12 I E-mail RLM - HoA decision to terminate - 29/30 Nov 2004
Item 13 _I Termination - 1 Dec 2004
Item 14 I RLM conclusion
Item15_I Appeal Letter - 6 Dec 2004.
Item16 I RLM request to audit for further information
I confirm that I have checked all the papers and reports included in this file
and all relevant documents have been included.
Name Date
Job Title Phone No. Std
P/L
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