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Guidance notes for departments/agencies

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Written submissions by the appellant and the department/agency

An officer must notify the CSAB of their intention to appeal, in writing, so that it is received within three months of their last day of service (e.g. if the termination of employment took effect from 15th August the Board would need to have received the appeal by 14th November). Their main statement of case and any supporting documentation must be submitted within the timescale given by the CSAB. The Department/Agency will be informed of this timescale and will be asked to consider any specific dates when representatives will not be available to attend a hearing. It is important that any dates to avoid are forwarded to prevent any problems occurring when the hearing date is set as re-arranging hearings can be problematic and is not always possible. Once booked a hearing will only be postponed in very exceptional circumstances.

On receipt of the appellant’s statement the CSAB will send a copy to the Department/Agency together with a request for them to submit six copies of the Departmental/Agency statement of case within three weeks. This time limit is very important and extensions will not be granted unless there are very exceptional reasons for so doing.

 

The Department/Agency’s submission should consist of the following:

A brief note of the appellant’s career history;

1. A narrative explaining the events leading up to and including dismissal (including internal appeal);
2. Comments on the appellant’s statement;
3. Documentary evidence. e.g. copies of all relevant letters of appointment, written warnings, notes of meetings, letters of dismissal etc; and
4. A copy of the procedures that were followed.

It is essential that the statement is set out clearly in these areas and that each part, in particular the events leading to dismissal and the documentary evidence, run in chronological order. The statement should be clearly paginated and annotated with the letter D, i.e. D1, D2, etc. For ease of reference paragraphs of the submission should be numbered and appendices tagged in the top left hand corner. Appendices should not be submitted in separate plastic wallets. It is important that documents should be clear and easy to read. If it is difficult to make clear photocopies, typed copies should be forwarded. Illegible material will be returned to the Department/Agency for clarification.

When sending the six copies to the Secretariat each copy must be tagged and secured in the top left hand corner only. Papers should not be forwarded in A4-folders, plastic wallets or loose secured by an elastic band. Any papers received in a format other than a tag through the top left hand corner will be returned.

The Department/Agency should not include any allegation or comment in their submission which has not been put formally to the officer concerned. Statements should not go beyond the grounds for dismissal as set out in the letter terminating an appointment.

All relevant documents should be attached to the written submission. If Annual Staff Reports are relevant to the case (e.g. in inefficiency or failed probation cases), copies should be enclosed within the statement. These will be made available to the appellant and their representative as will copies of reports of disciplinary hearings or Retirement Boards together with the hearing officer’s recommendation which should also be attached to the statement of case. Submissions should include copies of any staff regulations or Departmental directive which apply to the case. In criminal conviction cases, copies of the certificate of conviction and a report of what happened at court, should be contained in the submission.

Please bear in mind that any papers that are put forward will be seen by the Board, the appellant and their representative.

In the case of devolved responsibility, where managers have little experience in the preparation of submissions to the CSAB, reference should be made to their policy-making department or the CSAB Secretariat for advice on presentation and the inclusion of certain documents.

A copy of any communication between a medical adviser or a welfare officer, and the employing Department/Agency, which have been taken into account in reaching the decision appealed against, should accompany the Department/Agency’s statement and will thus be given to the appellant. Medical and welfare notes and personal records which have been kept exclusively for medical or welfare purposes, and have not been communicated to management, should not be sent to the Board. In any case in which there are special circumstances rendering it undesirable to disclose documents, which would normally be disclosed to the appellant, the Secretariat should be consulted.

It would help the Department/Agency if the representatives who will attend the hearing were involved in the preparation of the written submission.

The appellant will be sent a copy of the Department/Agency’s statement, and can submit written comments on it to the Board if he/she wishes. The Department/Agency should be aware that late papers might be requested by the Board at short notice.

An appellant can submit a response to the Department or Agency’s statement of case or documents which the Secretariat has obtained from the Department/Agency on his/her behalf up to 10 working days before the hearing. If the appellant provides extra papers on or close to the 10th working day the Board may decide to admit a written response from the Department/Agency where it considers this is necessary. Otherwise, the Department/Agency can address any issues raised by the appellant in additional documentation as part of its oral statement to the Board at the hearing itself.