Trust-wide consultation via Share-point, and consultation via the JCNC Implementation date: May 2012

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1 Grievance and Disputes Policy Responsible Director: Author and Contact Details: Document Type: Target Audience: Document Purpose/ Scope: Date Approved/ Ratified: Approved/Ratified by: Andrew Maloney (Director of HR and Governance) James Stone, HR Advisor Policy Trust Wide A policy and procedure for dealing with staff grievances and disputes. May 2012 Joint Consultation and Negotiation Committee Consultation: Trust-wide consultation via Share-point, and consultation via the JCNC Implementation date: May 2012 Review date: May 2017 Date of Equality Impact Assessment: May 2011 Training Requirements: The policy is covered at corporate induction. Line managers will also receive training in the operation of the policy. See Section 6. NB: Do not retain a paper version of this document, always view electronically from the Trust staffnet to ensure it is the correct version. Page 1 of 14

2 Contents 1. Introduction Definitions Duties Board or Lead Committee Chief Executive Executive Directors Head of HR HR Advisory teams Document Overview Diagram Operation of the Policy Introduction Scope Definitions Status Quo Representation Time Limits Stages for Dealing with Grievances and Disputes: Training Requirements Monitoring Resource/Service Implementation Issues Risk Issues Requirements, References & Supporting Documents Review Appendices Appendix 1 Grievance Notification Form Appendix 2 Procedure for a Second Formal Stage Grievance Hearing Appendix 3 Trade Unions Recognised by GMW Page 2 of 14

3 1. Introduction The purpose of this procedure is to provide a process for settling grievances and disputes as quickly and as fairly as possible. It also aims to resolve grievances as close to their point of origin as possible and through informal resolution wherever possible. The Procedure outlined below complies with the statutory grievance procedure as encompassed in the Employment Act This policy will be applied fairly and equitably, irrespective of an employees age, disability, gender reassignment, marriage and civil partnership, pregnancy and maternity, race, religion or belief, sex, or sexual orientation. 2. Definitions Grievances are defined as concerns, problems or complaints that employees raise with their employer, (ACAS Guidelines 2011). This dissatisfaction may apply to either a single employee or a group of employees. In this procedure a grievance is defined as a source of dissatisfaction to an employee in connection with their employment, including the application of conditions of service. A dispute is a grievance which results or may result in industrial action. Collective Grievances are grievances lodged by more than one person regarding the same issue. Industrial Dispute is a dispute between staff/staff representatives and/or trade unions and the employer, and may involve industrial action such as strike action ACAS Advisory Conciliation and Arbitration Service. This is an external body that can play a key role in resolving disputes. 3. Duties 3.1. Board or Lead Committee The Joint Consultation and Negotiation Committee is the committee through which approval of this policy has been obtained Chief Executive Overall responsibility for all Trust policies. Page 3 of 14

4 3.3. Executive Directors The Director of HR and Governance has overall responsibility for the operation of this policy Head of HR The Head of HR will assist the Director of HR and Governance in ensuring that the policy is implemented correctly HR Advisory teams The HR Advisory teams will provide training, advice and guidance in the operation of this procedure. 3.6 Managers Line managers will ensure that staff concerns are taken seriously and, where applicable dealt with in line with this policy. 3.7 Staff Staff will observe the terms of this procedure when raising grievances and disputes. 4. Document Overview Diagram None provided. 5. Operation of the Policy 5.1. Introduction The purpose of this procedure is to provide a process for settling grievances and disputes as quickly and as fairly as possible. It also aims to resolve grievances as close to their point of origin as possible. The Trust will ensure that all staff have access to a copy of this procedure. The Procedure outlined below complies with the statutory grievance procedure as encompassed in the Employment Act This policy will be applied fairly and equitably, irrespective of an employees sex, race, disability, sexual orientation, religion or belief Scope This procedure applies to all staff employed by Greater Manchester West Mental Health NHS Foundation Trust. A grievance may be raised for matters relating to an employee s employment, with the exception of those detailed below. Specifically excluded from the procedure are the following: Page 4 of 14

5 Disciplinary action and dismissal Grading evaluations Nationally determined conditions of service This procedure applies to both individual and collective grievances. Collective grievances would normally enter the procedure at Stage 2. Otherwise all references in this procedure to the employee equally apply to groups of employees. In using this policy all parties should be mindful of other Trust policies which may be more appropriate in certain circumstances, specifically the Bullying and Harassment Policy, and Public Interest Disclosure Act 1998 (Whistleblowing) Policy Definitions In this procedure a grievance is defined as a source of dissatisfaction to an employee or group of employees in connection with their employment, including the application of conditions of service. A dispute is a grievance which results or may result in industrial action Status Quo Until all stages in the procedure have been exhausted, the status quo will be maintained. The status quo is defined as the working conditions prior to the raising of the grievance. The status quo will not apply where there would be a detrimental impact on service provision or where there are over-riding statutory obligations Representation Employees have the right to be represented by a work colleague or by a representative of a recognised Trade union throughout formal stages of the procedure. (A list of recognised Trade unions is attached at Appendix 3) Time Limits In the interests of resolving problems as quickly as possible the following time-scale should be followed for each stage of the procedure. These timescales are from the date of receipt of the grievance, at the relevant stage. Initial resolution stage - up to 14 calendar days Stage 1 - up to a further 21 calendar days Stage 2 - up to a further 21 calendar days (the above timescales will be increased by any public holidays falling in the relevant periods). Page 5 of 14

6 The Trust will endeavour not to exceed these timescales without a good reason but it is also recognised that the timescales can be extended, if necessary, by mutual agreement. Initially acknowledgement of all grievances will be dealt with by the person to whom the grievance has been addressed. However, the grievance will be processed in accordance with the above timescales and by the manager best placed to deal with it. This manager will be identified in the acknowledgment letter Stages for Dealing with Grievances and Disputes: Initial Resolution of Issues The Trust is committed to resolving grievances at the informal stage wherever possible. Where an employee has a grievance they should in the first instance raise the matter with their immediate manager. The manager must respond to the employee within 14 calendar days. There is no requirement on employees to put the grievance in writing, nor is there a requirement for management to respond in writing at this stage. However, each party may wish to note their attempts at informally resolving the grievance, should they anticipate evidence of such being required at Stage 1. If the matter is unable to be resolved informally or the timescale is exceeded without good reason, the employee has the option to progress to the formal stage. The manager will not discourage the employee progressing their grievance should they so elect Stage 1 Formal If the grievance has not been resolved at the first stage the employee may refer the problem to more senior management. The employee is required to lodge a stage 1 grievance, in writing, and within the timescale specified above, to the Head of HR preferably by completing the Grievance Notification Form, Appendix 1. An appropriate manager at the next level within the Trust together with a Human Resources representative who has not been involved in the first stage will then meet to discuss the issue with the employee, their representative and the manager who dealt with the problem at the initial stage. Both staff side and management side will be asked to submit written statements to the above panel, and should do so no later than 7 calendar days before the meeting. The statements will be forwarded to all parties by the HR advisor on the panel. The employee must take all reasonable steps to attend the meeting. At the hearing the employee will state their case first, calling upon any witnesses. The manager who has dealt with the matter at stage 1 will then state their case, calling upon any witnesses. Following their submission questions can be asked of both parties by the Page 6 of 14

7 panel hearing the grievance and by the other party. The manager hearing the case will consider the evidence. All parties to the first stage will then withdraw whilst the manager, advised by the Human Resources representative on matters of procedure, comes to a decision. The manager will make a record and produce a written response to the employee indicating the reasons for upholding or rejecting the grievance and recording any agreement reached. The outcome and right of appeal will be confirmed in writing within five working days. A copy will also be sent to the manager who dealt with the grievance at the first stage. If the grievance is resolved at this stage the matter ends. If the grievance is not resolved at this stage, then the employee may refer the grievance to Stage 2 of the procedure. The employee has 14 calendar days from the date of the written letter of confirmation of the decision to refer the matter to the next stage of the grievance procedure; the Trust considers this to be a reasonable period of time. For collective grievances and disputes the procedure should normally be entered at stage Stage 2 Formal Stage 2 is used either as an appeal against a decision at stage 1, (staff side appeal only) or as the first stage, for a collective grievance. The employee may refer the matter to Stage 2, the third and final stage, preferably by forwarding the completed Grievance Notification Form, Appendix 2 to the Head of HR, who will acknowledge receipt of the grievance within 14 calendar days. The grievance will be heard within 21 calendar days. The Trust will endeavour not to exceed these timescales without a good reason but it is also recognised that the timescales can be extended, if necessary, by mutual agreement. The panel for the Stage 2 Formal Grievance will consist of one Non-Executive Director who will chair the panel, and a Director of the Trust (who may delegate this to a Deputy Director, Network Director, Assistant Director, Head of Operations or equivalent), who have had no previous involvement with the grievance. A Human Resources representative will advise the panel only on points of procedure and will not be involved in discussion on the merits of the case. The employee and the chair of the Stage 1 panel (or in the case of a collective grievance going straight to Stage 2, the relevant manager) will be asked to prepare written statements on their respective positions with regard to the problem. The written statements will be forwarded to the Head of HR. The written statements of case will be exchanged with each party as well as submitting both statements of Page 7 of 14

8 case to the panel at least 7 calendar days prior to the hearing. The employee must take all reasonable steps to attend. The process to be followed by the panel can be found at Appendix 2. Witnesses for either party may be called to support the case. The responsibility for arranging the attendance of a witness will fall upon the party concerned. Members of staff called as witnesses will be allowed time off with pay to attend. Witnesses shall only remain in the hearing whilst giving evidence or being questioned. Only one witness should be present at a time. The grievance will be heard as soon as practicable, usually within 21 calendar days of the stage 2 grievance being lodged. The employee will be informed of the decision of the panel within 7 calendar days of the hearing. The decision will be forwarded to the employee in writing indicating the reason(s) for upholding or rejecting the grievance and recording any agreement reached. A copy of this will be passed to both the stage 2 manager and the employee concerned. The decision of the stage 2 panel is final ACAS For collective grievances, in the event of a failure to agree following the completion of the final stage of the procedure, it is open to either party to refer the problem to the Advisory Conciliation and Arbitration Service (ACAS) for conciliation. It is also open to both parties to agree, if they so wish, to refer the problem to ACAS for arbitration. If both parties do agree to refer the problem to ACAS for arbitration then the findings, may by mutual agreement, be binding on both parties Former Employees Where an employee has left the Trust and wishes to raise a grievance, it is normally advisable to allow them access to the normal grievance procedure or, if they prefer, to investigate their concerns and respond to them in writing. The former employee should write to the Head of HR setting out their grievance and the basis for it. This must be done as soon as possible after leaving employment. Should the employee be prepared to conduct the proceedings in writing, the Trust will respond in writing within 39 calendar days of the date of the grievance. This response is final; there is no right of appeal. Page 8 of 14

9 6. Training Requirements The Head of HR will ensure that the existing training provided for managers on managing grievances is amended to take into account the modifications to the policy. 7. Monitoring Minimum Requirement The HR Department will maintain data to support KPIs on numbers of grievances, timescales and outcomes Frequency Monthly Process for Monitoring e.g. audit HR Advisory teams to complete monthly returns to HR Manager (Business Support) Evidence Monthly retutrns, and KPIs Responsible Individual Head of Human Resources (Business Support) Responsible Committee for action plan monitoring JCNC The Head of HR will ensure that all cases lodged under this policy are recorded, without identifying the individual raising the concern. Monitoring will take place of the ethnic origin of each person lodging a grievance and any necessary action taken to ensure that no discrimination is taking place across the organisation. The Grievance Procedure will be reviewed regularly no less frequently than every 3 years. In the event of either side desiring to notify an amendment to the agreed process, three months notice should be given to allow a reasonable time for the review. 8. Resource/Service Implementation Issues The key service implementation issue is to ensure that all stakeholders e.g. Managers, Staff Side and Employees are aware of the changes. 9. Risk Issues Failure to follow the policy may result in successful litigation against the Trust. Awards against the Trust may be increased by up to 25% in cases of failure to follow the Grievance Procedure. and compromise partnership working and positive employee relations. It may also result in increased sickness absence, performance or conduct issues. Page 9 of 14

10 10. Requirements, References & Supporting Documents Trust External/Internal Requirements: Board Objective Ref: 5 CQC Ref: N/A NHSLA Ref: N/A References Documents: Employment Act (2008) Trusts Trade Union Recognition Agreement Trust Bullying and Harassment Policy Trusts Public Disclosure Act 1998 (Raising Concerns) Policy ACAS Code of Practice on Disciplinary and Grievance Procedures (2011) Trust Disciplinary Policy and Procedure Supporting Documents None provided. 11. Review The Grievance Procedure will be reviewed regularly no less frequently than every 3 years. In the event of either side desiring to notify an amendment to the agreed process, three months notice should be given to allow a reasonable time for the review. Page 10 of 14

11 12. Appendices Appendix 1 Grievance Notification Form Greater Manchester West Mental Health NHS Foundation Trust Grievance Notification Form Name:*. *If this is a collective grievance please provide details of all employees lodging the grievance on a separate sheet Job title:. Directorate: Contact details: Please provide an address and telephone number for you to be contacted in regard to your grievance Name of representative:... Contact details:. Please provide details of the nature of the grievance (please continue on a separate sheet if required Page 11 of 14

12 Remedy or outcome sought. Has the grievance been referred to any of the stages outlined below and please provide the name of the manager who has dealt with the grievance at each stage Informal Yes/No Manager s name... Please note that the matter should normally be attempted to be resolved informally prior to proceeding to the formal stages of the procedure. Refer to the grievance procedure for further guidance. Initial Resolution Stage Yes/No Manager s name.. First Formal stage Yes/No Manager s name. Signed Date Please return the completed form to the Head of HR Received by.. Date received Receipt Stamp Page 12 of 14

13 Appendix 2 Procedure for a Second Formal Stage Grievance Hearing Greater Manchester West Mental Health NHS Foundation Trust Procedure for a Second Formal Stage Grievance Hearing 1. The Non-Executive Director will chair the hearing 2. The employee(s) or his/her representative will commence the proceedings by stating their case and calling any witnesses as required. 3. The Management side will have the opportunity to question the employee(s) and any witnesses. 4. The appeal s panel members will have the opportunity to question the employee(s) and any witnesses. 5. The employee(s), or his/her representative will have the opportunity to reexamine their witnesses. 6. The Management side will then state their case and call any witnesses as required. 7. The employee(s) or their representative will have an opportunity to ask questions of the management side and any witnesses. 8. The appeals panel will then have the opportunity to ask questions of the management side and any witnesses. 9. Management will then have the opportunity to re-examine their witnesses and sum up their position without introducing any new matter. 10. The employee(s) or their representative will then summarise their position without introducing any new matter. 11. The appeals panel, accompanied only by the clerk, will then consider the case and come to a conclusion. If further information is needed both parties will be recalled. 12. The decision of the appeals panel will then be confirmed in writing to both the parties by the chair of the panel. 13. The decision of the appeals panel is final and binding on the Trust. Page 13 of 14

14 Appendix 3 Trade Unions Recognised by GMW Trade Unions recognised by GMW The Trust recognises those Unions listed below for the representation of members on individual issues, and for consultation in respect of their members who are employed by the Trust. For further guidance please refer to the Trust s Trade Union Recognition Agreement. UNITE BAOT British Association of Occupational Therapists BMA British Medical Association CSP Chartered Society of Physiotherapy UCATT Union of Construction, Allied Trades and Technicians RCN Royal College of Nursing UNISON including Managers in Partnership (MiP) Page 14 of 14