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A Guide to Incremental Progression
NJC (Green Book) Local Government Services Staff
SCHOOL SUPPORT STAFF ONLY
Status of Guidance
Introduced March 2009 – Revised March 2010/May 2010
Contents
1. Introduction Page 2
2. Guiding Principles 2
3. Responsibilities 3
4. Timeline of actions 3
5. Criteria for incremental progression 4
5.(a) Conduct 4
5.(b) Capability 5
5.(c) Satisfactory appraisal 5
5.(d) Attendance 6
6. Employees with less than 12 months service 8
7. Exceptions to Attendance 8
8. Post specific guidelines for incremental progression 11
9. Part Time Staff 11
10. Employees with Multiple Posts 11
11. Extended Unpaid Leave 11
12. Appeals Process 11
13. Schools’ Electronic Form Returns 12
Appendix 1: Exceptions Recommendation Template 13
Appendix 2: Template Letter - Individual not to receive increment 14
and Appeal Form
Appendix 3: Template Letter – Employee information on manager’s 16
recommendation for an exception.
Appendix 4: Template Letter – Exception outcome 17
Appendix 5: Incremental Progression Decision Chart 18
Appendix 6: Incremental Progression Appeals Process and Form 20
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1. Introduction
In this guide the term ‘manager’ or ‘line manager’ will be taken to mean
the Headteacher or other designated school manager
This guide is aimed at supporting managers to plan and carry out effective
incremental progression reviews and informing employees about the process.
2. Guiding Principles
2.1 All employees whose current salary is below the maximum applicable
for the pay band of their job will be subject to an annual incremental
progression review. Employees will be eligible to be considered for an
increment on either 1st April or 1st September each year (depending on
their terms and conditions of employment) up to and including a
maximum of the current pay band, subject to meeting the criteria stated
in this document. This increase will be in addition to the annual
nationally negotiated cost of living award applicable to the pay of all
employees with the exception of those on pay protection arrangements,
effective 1 April each year, which is normally paid as a percentage of
basic pay. Where an employee has reached the maximum of the pay
band, they will not be eligible for an incremental increase.
2.2 Employees who have commenced NYCC employment, between 2
October and 31 March are not eligible for an increment on the following
1 April but will be considered for one on completion of 6 full calendar
months service based upon the attendance criteria pro rata target from
the year in which their employment commenced (see section 6). This
guide should be used to assess their eligibility at the required time.
2.3 Part time staff are subject to the same criteria as set out in this
document.
2.4 Multiple post holders will be assessed using the criteria for each of their
posts separately. As individuals in multiple posts may be on different
spinal column points and may excel in one post but may not meet the
criteria in another. An exception to this principle is where a conduct
incident takes place in relation to one post which may have an impact
on the other post (see section 5(a)).
2.5 The process should be dealt with in accordance with the timescales
stated in section 4. Where exceptions are recommended or where
appeals are requested these should be processed without undue delay
and normally within a three month timeframe. Where the awarding of
increments is agreed as a result of the exception or appeal processes,
these will be made effective from the date they could originally have
been paid from.
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3. Responsibilities
3.1 Line managers are responsible for conducting the incremental
progression reviews and communicating the outcome to employees as
per the timelines under section 4. Managers should review staff who
report directly to them. A template letter is included for staff who have
had their increment withheld (see Appendix 2). Managers should retain
notes on their discussion with staff who have had their increment
withheld and share them with the member of staff concerned. It is the
responsibility of line managers to ensure that their staff receive the
appropriate letters.
3.2 HR Services are responsible for advising on the exceptions and
appeals process. Line managers may liaise with their HR advisers.
3.3 The Payroll team is responsible for ensuring that increments are
awarded to eligible employees and checking pension contribution
banding.
3.4 Employees are responsible for bringing any issues to the attention of
their line manager if they don’t agree with the outcome.
4. Timeline
Necessary actions to be completed annually for all employees whose current
salary is below the maximum applicable for the pay band of their job.
Please note that the timeline below should commence in the April of the year
going through to the decision on increments being made in March/April of the
following year.
Action Month
Employee has annual appraisal completed by line April - June
manager
6 month review of appraisal October - December
Manager checks attendance data for accuracy and Early - Mid March
consider whether or not an increment should be
awarded on the basis of attendance, conduct,
capability or appraisal.
Manager completes this process for all direct report April
staff in time for school to notify HR Admin using the
electronic form so that increments can be processed
through payroll in April.
Manager to discuss any negative outcomes with March/April
relevant employees prior to sending letters to
employees who have not been awarded an
increment (See Appendix 2), and to retain notes of
this discussion and share these with the member of
staff.
Where a Manager is proposing an exception the March/April
employee should be informed verbally and then in
writing using the model letter at Appendix 3.
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Payroll to check that pension contributions are April
correctly banded where increments have not been
agreed.
Manager reviews recommendations for exceptions April
with Head Teacher and HR
When exception resolved manager should then April/May
discuss outcome with relevant employee and confirm
in writing using the template letter at Appendix 4.
Enhanced pay to employee April Payroll
Employee to inform manager within 10 working days April/May
of receipt of their notification of withheld increment if
they intend to appeal.
5. Criteria for incremental progression
In order to be eligible for an annual increment in the year under review,
employees must achieve acceptable standards in their annual appraisal, have
acceptable levels of sickness absence, and not have had conduct or capability
issues as described below in the year under review.
Specifically, the areas where a minimum acceptable level of performance
must be attained are:
a) Conduct
b) Capability
c) Satisfactory Appraisal
d) Attendance
5.a) Conduct
This relates to unsatisfactory conduct during the year under review. If an
employee is the subject of a pre-disciplinary investigation and/or
precautionary action as part of the disciplinary policy and procedure, when the
review is being completed, then the member of staff will not be eligible to be
considered for an increment. Precautionary action as part of the disciplinary
policy and procedure could include suspension or temporary redeployment. If
following an investigation, no further action is taken against the member of
staff or, the outcome of a disciplinary hearing is that there is no case to
answer, then the increment should be awarded if it would have been awarded
on all the other criteria.
If an employee has a live disciplinary warning on their file during the period for
which the review is being undertaken, then the employee will not be eligible to
receive an increment during that year. If the period of warning crosses two
years the increment would be withheld only once (in the first year). When
disciplinary sanctions are issued, it should be made clear in the disciplinary
outcome letter that if an employee has not reached the maximum pay
applicable for the grade of their job then they will not receive an increment the
following year, due to having been issued with a disciplinary warning.
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For those with multiple posts, there may be cases in which misconduct
committed in one post is relevant to the other post. In this instance it is a
requirement of the manager dealing with the incident to inform the manager of
the other post. A decision then needs to be taken by the manager of the other
post as to whether the incident should have an impact on incremental
progression for the post they manage. HR support should be sought in this
regard.
5.b) Performance under review on grounds of capability
If an employee is currently being managed due to issues of under
performance, either formally or informally, then the member of staff
would not be awarded an increment.
If an employee has been able to demonstrate a satisfactory improved
performance for a capability issue for which an increment was withheld
in the previous year, then they can be considered for an increment
under this criterion.
For performance issues dealt with and completed wholly in the year
under review - if the performance improves to the standard required by
the manager within the timescale set for informal action then the
awarding of an increment can be considered.
Where a formal capability process has been undertaken during the
year under review, the employee will not be considered for an
increment.
5.c) Satisfactory Appraisal
In order to qualify for an increment members of staff must have had a
satisfactory appraisal. If the outcome of the appraisal is unsatisfactory then
the fact that this will result in an increment being withheld should be confirmed
to staff at the time of appraisal verbally and followed up in writing. If the
appraisal process has not been completed within the past twelve months this
cannot be used as grounds for withholding an increment.
5.d) Attendance
Unacceptable attendance levels which would, in general, debar an employee
from incremental award are shown below. Only if individuals exceed the
acceptable attendance level in the latest 12 months do managers need
to consider the attendance in the preceding 2 years plus the current
year. The 12 months are from 01 April to 31 March.
For 2009/2010
An employee has had sickness absence amounting to more than 7
working days in the preceding 12 months
If not, an increment should not be withheld on attendance grounds
If so, then investigate whether they have had -
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a total of more than 24 days over the preceding 3 years (including
2009/10).
If not, an increment should not be withheld on attendance grounds
If so, an increment should be withheld on attendance grounds
For 2010/2011
An employee has had sickness absence amounting to more than 7
working days in the preceding 12 months
If not, an increment should not be withheld on attendance grounds
If so, then investigate whether they have had -
a total of more than 22 days over the preceding 3 years (including
2010/11).
If not, an increment should not be withheld on attendance grounds
If so, an increment should be withheld on attendance grounds
For these purposes a working day is defined as a working session, of
whatever length. Working sessions that straddle two calendar days count as
one working session.
Where a continuous period of absence crosses two review periods, the
withholding of an increment should only be applied to one period; if an
increment was withheld in the previous year an employee can still be awarded
an increment the following year provided that the individual’s attendance
before and after the period was good*
*Good attendance is generally considered to be no more than three days
sickness leave in any year under consideration.
In a minority of cases, staff whose illness prevents them from attending their
usual place of work may make a reasonable offer to work in a different
capacity / location but this offer may be unable to be accepted by their
manager. In such instances the manager may decide to exempt this period of
absence from counting as sickness absence for incremental progression
purposes.
Where it is proposed to withhold an increment on attendance grounds the line
manager should, when informing the employee, give details of the attendance
record and allow the employee the opportunity to comment. If there is any
dispute about the attendance data used, this should be resolved wherever
possible before the employee takes the matter to appeal on the grounds that
the data is inaccurate.
NOTE: When an employee is unfit for any work they must take
sickness leave. The requirements stated at the end of this section in
relation to medical certificates must be complied with.
However, where an employee is not capable of carrying out their full duties
but may be capable of carrying out partial/changed duties or for reduced
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working hours at home or from a different workbase, this should be discussed
with their manager.
This may be as a consequence of: -
e.g. an illness from which the employee is recovering. The employee may feel
well enough to do some work but not their full, normal duties. The employee
and manager may agree that there is some suitable work/work-related
study/work-related personal development activity that the employee can do at
home or at an alternative work location for a few days until they are fit to
resume normal duties.
e.g. an employee has a broken wrist. They are unable to drive to their usual
workbase but are able to catch the bus or get a lift to an alternative nearby
workbase where they can ‘log on’. As their duties are partially administrative it
is agreed by their manager that they can work two days per week on this
basis.
The health and safety of the employee, colleagues and service users
must always be of paramount concern in deciding what are suitable
arrangements.
Where it is agreed that alternative work arrangements could be put in place,
there must be an assessment made of any risks to health in conjunction with
the employee before agreement is reached. If agreement is reached, the
situation must be kept under review. Employees are expected to keep in
regular contact with their managers and report/discuss any change in
circumstances or difficulties in carrying out the revised working arrangements.
Managers must not agree to alternative working arrangements unless
they are sure that no risks to health are involved. Managers are
responsible for monitoring work outputs during periods of alternative working
arrangements.
Advice regarding any occupational health issues in connection with alternative
working arrangements is available, where needed, from Health and Well-
being.
Any work carried out under agreed alternative arrangements will not count as
sickness leave and managers are required to record the appropriate number
of days sickness leave by the usual recording methods.
Phased Returns – Where an employee has been on long-term sickness
leave it is often appropriate to consider arrangements for a phased return to
work. Detailed guidance on this is available at Appendices D and E of the
Attendance Management Toolkit. Once a phased return commences,
sickness leave ends.
Medical Certificates – A Medical Certificate is required on the eighth
successive calendar day of illness and then successively until fit to return to
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work. In cases where the doctor’s statement covers a period exceeding 14
days or where more than one certificate is necessary, the employee must
submit a final certificate confirming their fitness to resume work from a
specified date. A GP may sometimes indicate that an employee is fit to return
to partial/’light’ duties and, if so, these particular duties should have been the
subject of discussions between employee and manager before the employee
is signed back to work.
6. Employees with less than 12 months service:
In applying unacceptable attendance levels which would debar an employee
from an incremental award, if an employee has less than 12 months service
the following pro-rata sickness levels should be applied:
Length of Service: For 2008/2009 More Than: For 2009/2010 More Than:
6 months service 4 days absence 3.5 days absence
7 months service 4.66 days absence 4 days absence
8 months service 5.33 days absence 4.66 days absence
9 months service 6 days absence 5.25 days absence
10 months service 6.66 days absence 6 days absence
11 months service 7.33 days absence 6.5 days absence
12 months service 8 days absence 7 days absence
Employees who have commenced NYCC employment, or taken up a new
post, between 2 October and 31 March are not eligible for an increment on the
following 1 April but will be considered for one on the completion of 6 full
calendar months service based upon the pro-rata attendance targets from the
year in which their employment commenced, i.e.
2008/09 starter = 4 days,
2009/10 starter = 3.5 days.
7. Exceptions to Attendance Criteria:
If the employee has exceeded the specified attendance targets then the
increment will be withheld at this stage. If the employee is dissatisfied with this
decision they may request a meeting with their line manager at which they
have the right to be accompanied by a trade union representative or line
manager. The manager will record the employee’s reasons for dissatisfaction
on the Incremental Progression Review Form (see Appendix 6) and record
their decision. The employee may choose to Appeal against the decision to
withhold the increment. If the employee has a good attendance record* which
has been affected by a one-off absence (normally lasting less than 3 months)
then the manager may choose to recommend consideration of whether an
increment should be awarded through the exceptions process.
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* Good attendance is defined as no more than 3 days sickness leave in any
year under consideration.
7.1 Where the manager decides to recommend an exception, they should
notify the employee verbally and confirm in writing using a template
letter (Appendix 3).
7.2 Where the Headteacher receives a recommendation from a line
manager, the Headteacher should make the decision as to whether to
authorise the exception. If the Headteacher wishes to make an
exception for an employee he/she manages directly, the Headteacher
may wish to discuss the decision with a Governor. It should be borne in
mind, however, that if the employee appeals the decision then that
particular governor will not be able to sit on the appeals panel.
7.3 The manager will confirm the outcome of the exception process to the
employee using a template letter (Appendix 4). The employee will have
a right of appeal as detailed in Appendix 6.
7.4 Exceptions will not normally be made if an employee has had a period
of sickness absence lasting more than three months. However, if an
employee wishes to appeal against the withholding of an increment in
these circumstances, the Headteacher should indicate on the
Incremental Progression Review Form (see Appendix 6) whether they
wish to support a recommendation that an employee with a sickness
absence of over three months should be considered for an increment
on very exceptional grounds.
7.4.1 Such cases should be "exceptional" in that the circumstances
are rare/unusual and/or that the context is such that they should
be deemed an exception.
This context could include:
Injury/illness caused by work where the County Council/School
acknowledges liability
An employee whose performance and commitment to work has
previously been exceptional
Cases where in the face of a serious condition/illness an
employee with a previously excellent attendance and
commitment record, has done all possible to minimise the
impact of their absence.
7.4.2 For these cases the Appeals Panel must be made fully aware of
the facts of the case. Any disability and its impact on the
absence should be fully considered in line with guidance under
section 7.7.
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Representation – an employee has the right to be accompanied by
a Trade Union official or work colleague at the line manager meeting
and appeal.
If the cause of sickness absence was related to pregnancy then this
must not be taken into account in the employee’s sickness absence total
figure for assessment against the target figures.
7.5 The manager will confirm the outcome of the exception process to the
employee using a template letter (Appendix 4).
7.6 Work related absence - If an employee has been absent due to work
related issues, and wishes to appeal against the withholding of an increment
on these grounds, the manager may wish to recommend consideration of
making an exception on these grounds.
7.7 Disability related absence
7.7.1 If the cause of absences was related to a disability then the employee’s
line manager should consider whether it would be appropriate to determine
that all or any of that absence should be counted as Impairment Related Sick
Leave (IRSL) and excluded from the sickness absence calculation for
incremental progression purposes. It is felt that a maximum of 10 days for
IRSL should be used as a benchmark, although each case will be considered
on its own merit. Further information on IRSL is available in the Attendance
Management Toolkit. Advice and guidance can be sought from your local HR
services team and Occupational Health where there is doubt.
Factors that should be considered in making this decision include:
The degree to which the employee exceeds the unacceptable
absence trigger.
The extent to which the employee has attempted to return to
work or carry out work in other ways at the earliest opportunity.
The extent to which the employee has sought to manage
predictable absence resulting from their condition via flexible
working times, use of unpaid leave/flexitime etc.
7.7.2 The Disability Discrimination Act (DDA) provides a legal framework
to protect disabled employees from discrimination. Managers have
a legal duty to make reasonable adjustments to enable employees
to remain in employment and be able to manage work
commitments. Information on reasonable adjustments can be found
in the Attendance Management Toolkit.
7.7.3 However, this does not mean that employers must tolerate high
levels of sickness absence or any inabilities to undertake the jobs,
key duties and responsibilities. The fact that the DDA applies to an
employee does not mean that increments must be awarded
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annually. Line managers should seek advice from HR when dealing
with a disabled employee in relation to incremental progression
reviews.
7.7.4 Other arrangements can be made with staff to minimise absence
rather than tolerating high levels of sickness absence. Where
managers work with staff to look at such adjustments this should
minimise sickness absence for these staff.
8. Post specific guidelines for incremental progression
If a post has incremental progression criteria attached to it, then these must
have been met in order for a member of staff to receive an increment. The
post specific criteria could include the need to attain a qualification, have a
number of years experience in the role or to be competent in a number of
tasks which are essential to the job role. Reference should be made to the
employee’s job description, person specification and the JE profile in order to
identify post specific incremental progression criteria.
9. Part Time Staff
The same criteria are applied to part time staff as are applied to full time
equivalents. This is because a working day for a part time member of staff is
equivalent to a working day for a full time member of staff, i.e. it is a ‘working
session’, the fact that it is a shorter day is irrelevant.
10. Employees who hold Multiple Posts
All posts held by an individual are to be treated separately for the purpose of
the assessment of whether they should receive an increment or not.
Therefore individuals should be assessed against the criteria for each of their
posts. However, see para 5 (a) for considerations of conduct issues.
11. Extended Unpaid Leave
Where individuals have taken extended unpaid leave within the preceding 12
months, this period should be ignored, with the same amount of time being
considered prior to the 12 months.
For example if someone has had 3 months extended unpaid leave during the
12 month review period, the manager should consider the previous 15
months.
12. Appeals Process
Employees who are not awarded an increment following the salary review will
have the right of appeal. Staff must inform their manager within 10 working
days of receipt of their notification letter of their intent to appeal. Members of
staff must submit their appeal in writing by using the form provided within the
Appeals process in Appendix 6, outlining the grounds of their appeal.
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This appeals process satisfies the legal requirements for addressing staff
disputes / grievances and therefore staff do not have access to the ‘Resolving
Issues at Work’ procedure.
See Appendix 5: Incremental Progression Chart in order to aid
managers’ decision making processes.
13. Schools’ Electronic Form Return
Schools will be requested to complete and return an electronic form.
Notification and guidance will be issued by HR at the appropriate times.
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Appendix 1
Exceptions Recommendation Template
Template from Manager to Headteacher
To: Headteacher (name)
From: Manager (name)
Date: (date)
Re: Recommendation for exception to award an increment
Job title
Postholder
Criteria the manager is recommending an exception on (i.e. attendance)
Reasons
Actions for Headteacher:
Consider recommendation
Arrange meeting with manager (plus take HR advice if required) to discuss
recommendation
Make decision to support recommendation or not
Verbal feedback to employee by Line Manager
If not supported, Line Manager writes letter to employee (Template 4).
If the exception is for a period of more than 3 months absence the
Headteacher to decide whether to support it and indicate on the
incremental Progression Review Form (Appendix 6) for consideration by
the Appeals Panel
Follow-up Actions for Line Manager:
Verbal feedback to employee by Line Manager
If the exception is agreed, Line Manager to inform Payroll including
backdating of the increment.
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Appendix 2
Template letter - Individual not to receive increment
Date
Dear
Following consideration of the incremental progression criteria I regret to
advise that, unfortunately, you have not met the criteria necessary to receive
an annual increment this year.
The reason for this being:
Your conduct is presently under investigation and/or there was a
disciplinary warning issued during the period under review.
There have been concerns raised over your work performance.
Your staff appraisal was not deemed to be satisfactory this year.
Your level of sickness absence was above the acceptable level
required for the granting of an increment
We have already discussed the detail surrounding the above decision,
however if you require further clarification, please arrange to discuss this with
me as soon as possible.
This decision will not affect your right to receive a standard of living increase if
and when agreed following local and national negotiations (unless pay
protection applies to your salary).
You have the right to appeal against this decision. If you wish to appeal,
please complete the form attached to this letter, outlining the reasons for your
appeal and return it to me within 10 working days of the date of this letter.
You may be supported by a Trade Union representative or a work colleague
at any appeal hearing.
Yours sincerely
Line Manager
Enc
Copy to personal file.
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Incremental Progression Review Form
This form is to be used to record each step of the appeal process; it is
then to be retained on the employee’s personal file.
STEP 1
This section should be completed by any employee who wishes to appeal the
decision to withhold an increment. It is important to include every aspect you
wish to be considered.
1. Full Name 2. E-mail or postal address for
correspondence:
3. Employee Reference Number
4. Post Occupied:
5. Department:
6. Date of appointment to Post: 7. Present Pay Band/Spinal Column
Point:
8. Date from which present spinal column point applied:
9. Indicate below the element to which your appeal relates:
Conduct / Disciplinary Issue Yes No
Capability Issue Yes No
Satisfactory Appraisal Issue Yes No
Attendance/Sickness Absence Issue Yes No
10. Outline below relevant information in support of your appeal (Please
continue on an additional sheet if necessary and provide any supporting
documentary evidence as appropriate):
11. Signature 12. Date
SUBMIT TO YOUR LINE MANAGER
STEP 1
Received by: Date:
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Appendix 3
Template letter - Individual recommended to be considered as
an ‘exception’.
Date
Dear
Following consideration of the incremental progression criteria I write to
advise that you have not met the criteria necessary to receive an annual
increment this year. However, following our meeting, I am recommending
that, if you wish to appeal, consideration should be given to the possibility of
an exception being granted in your case.
The reason for this being: (detail here)
We have already discussed the detail surrounding the above
recommendation; however if you require further clarification please arrange to
discuss this with me as soon as possible.
This recommendation will be considered by the Headteacher (and a
governor)* after which I will confirm the outcome to you.
Yours sincerely
Line Manager
Enc
Copy to personal file.
*delete as appropriate
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Appendix 4
Template letter - Individual ‘exception’ outcome
Date
Dear
Following my earlier letter to you regarding the exception recommendation
process, I have now been informed of the decision of the Headteacher which
is:
1) That your case has been agreed as an exception on the basis of
….. and therefore you will receive your increment with effect from
……
OR
2) That your case has not been agreed as an exception and therefore
you will shortly receive a further letter confirming that you will not
receive an increment this year and this will notify you of your right of
appeal against this decision.
If you require any further information, please contact me.
Yours sincerely
Line Manager
Enc
Copy to personal file.
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Appendix 5
Incremental Progression Decision Chart
Has the employee had a satisfactory Appraisal and met post
specific guidelines for increment?
Yes No No Increment
Has the employee had a live disciplinary warning on their file during the last twelve months, or currently
under investigation or suspended from work pending investigation?
Yes No
No Increment Have any capability issues been addressed during the
last 12 months (formally or informally)?
Yes
No
Recommend no
No increment
Increment Has the employee taken sick leave from work in the last
three years?
No
Yes
Has the employee had sickness absence above the Award an increment
Recommend an
attendance criteria in the last 12 months? increment
Yes No
Has the employee had more than the target absence over the Award an increment
preceding three years?
Yes No Award an increment
If absence is a result of a one off absence
Is any of the sickness a result of (normally of not more than 3 months) and the
pregnancy or disability? employee’s attendance is usually good,
consider recommending an increment. No increment
Not Award
Yes No Recommend an increment
Send to AD
Send to HT for action
Pregnancy Disability
Discount pregnancy related sickness Not to be automatically discounted,
and consider if to award an increment. consideration to be given to award or
not.
Recommend No Increment
an Increment Recommend
increment
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Send to Send to AD Send to HT
Incremental Progression Decision Chart - Continued
HT may discuss with a HT to decide if exception
Governor recommendation is agreed or not
HT agrees with exception HT disagrees with exception
If exception relates to more
than 3 months sickness
absence, to be referred to
Appeals Panel for decision
Appeals Panel agrees with
exception
Appeals Panel disagrees with
exception
Line Manager informed of
decision
Line Manager provides verbal
feedback to employee
Line Manager informs
individual of decision. Letter
triggered for decisions where
increments are withheld.
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Appendix 6
Incremental Progression
Appeal Process
SCHOOLS’ VERSION – SUPPORT STAFF ONLY
Status of Process
Revised March 2009
Introduction
Those employees who are eligible to be considered for incremental
progression, but who are not awarded an increment as a result of
unsatisfactory conduct, capability, appraisal or attendance, will have the right
of appeal.
This three step process satisfies the requirements of the Statutory Grievance
Procedure. Once this three step appeal process is concluded, the individual
does not have access to the Resolving Issues at Work Procedure for this
issue.
The document attached should be used to record the outcome at each step
and should then be retained on the individual’s personal file for a period of
twelve months.
Individuals have the right to be accompanied by a trade union representative
or work colleague at steps two and three. However it is normal that the
individual will be accompanied at step 3, the formal appeal meeting.
If further guidance on this process is required please contact your local HR
team.
Schools and Colleges – In this document, the word ‘Manager’ or ‘line
manager’ should be interpreted as ‘Headteacher’ or other school manager. It
is expected that Appeals will be heard by panels of two or three non-staff
Governors who have not previously been involved in the case.
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Process
Step 1
Employee puts their issue in writing by completing the form attached to
the notification letter.
Following notification of the decision on incremental progression, an employee
may complete the Incremental Progression Review Form and send to their
manager within 10 working days of receipt of their notification letter. The
purpose of this step is to make the manager aware that the individual is
dissatisfied with the decision not to award an increment, and why.
Step 2
Manager and employee meet to discuss the situation.
The manager must acknowledge receipt of the form as soon as possible,
ideally within 5 working days and arrange to meet with the individual to
discuss the decision making process, relevant to their case.
The manager will confirm the outcome of the meeting by noting the decision
and reasons for it on the form at step 2. The employee will be provided with a
copy of the form and be advised that if they are still dissatisfied with the
decision then they have the right of appeal (step 3 of the process).
The employee should notify their line manager in writing within 10 working
days of receipt of the copy of the form, detailing the reasons for their
dissatisfaction with the decision.
If the employee decides to appeal then the manager will send a copy of the
form to the Chair of the Appeal meeting (who will ensure that all other panel
members receive copies of the documentation), together with any other
evidence relevant to the employee’s case. The employee will be provided with
a copy of all the evidence provided by the manager to the Chair of the Appeal
meeting, at least 5 working days before the Appeal meeting takes place. A
nominated HR representative may assist the Chair throughout this process if
required.
Step 3
Right of Appeal
An appeal meeting will be set up and chaired by a Governor. It is
recommended that a HR representative advises the Panel.
Participants in the appeal meeting will be: -
Two or three Governors, one of whom will be the Chairperson
HR Representative (if required by the Chairperson)
Employee
Employee’s Trade Union Representative or work colleague (if required by the
employee).
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Process
The Chairperson will note the reason provided on the form for not awarding
the increment and any other evidence provided by the manager. If the
employee or Chairperson believes that any clarification of the evidence is
required they should request the manager to provide written clarification to
both the employee and Chairperson, assisted by the HR representative (if
required by the Chairperson). This should be completed prior to the date of
the appeal meeting.
The individual and / or their representative has the opportunity to present their
case against the decision not to award the increment. The Panel (and HR
representative, if present) will have the opportunity to ask questions.
The meeting will conclude to allow the Panel to consider the information
provided, advised by a HR representative, if present.
The Panel may decide to award an increment or not award an increment.
Exceptions for over 3 month absences will only be made in very exceptional
circumstances.
Where an employee wishes to appeal against a decision for a ‘one -off over
three month absence’ the Headteacher will indicate on the Incremental
Progression Review Form whether or not he/she supports the exception.
The final decision will be recorded on the form and a copy sent to the
employee. A covering letter may also be sent.
The outcome of Step 3 is final. Individuals cannot make a further appeal
through the Resolving Issues at Work procedure.
If the employee’s pay point is changed as a result of this process it will be
the line manager’s responsibility to ensure that the salary is changed from the
effective date.
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Incremental Progression Review Form
This form is to be used to record each step of the appeal process; it is
then to be retained on the employee’s personal file.
STEP 1
This section should be completed by any employee who wishes to seek
clarification of a decision to withhold an increment. It is important to include
every aspect you wish to be considered.
1. Full Name 2. E-mail or postal address for
correspondence:
3. Employee Reference Number
4. Post Occupied:
5. Directorate and Business Unit:
6. Date of appointment to Post: 7. Present Pay Band/Spinal Column
Point:
8. Date from which present spinal column point applied:
9. Indicate below the element to which your appeal relates:
Conduct / Disciplinary Issue Yes No
Capability Issue Yes No
Satisfactory Appraisal Issue Yes No
Attendance/Sickness Absence Issue Yes No
10. Outline below relevant information in support of your appeal (Please
continue on an additional sheet if necessary and provide any supporting
documentary evidence as appropriate):
11. Signature 12. Date
SUBMIT TO YOUR LINE MANAGER
STEP 1
Received by: Date:
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STEP 2 - Meeting
Date letter sent acknowledging
receipt of form from Step 1
Date of Step 2 meeting
Manager
Individual
Employee Representative (if present)
Outcome of Step 2 (State the reasons for the decision – continue on additional
sheet if necessary)
Employees please note: If you wish to appeal against this decision you should
write to your line manager within 10 working days of receipt of this form, outlining
the reasons for your appeal
Date copy of this form sent to individual:
Does individual wish to progress to Step 3?
YES NO
STEP 3 - Appeal
Received written notification from Date received:
individual of their request to progress
to step 3
Date of Step 3 meeting
Chair Person
Other Governor(s)
HR Representative
Individual
Employee Representative
Outcome of Step 3 (state the reasons for the decision - continue on additional
sheet if necessary)
Date copy of form sent to individual:
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