GRIEVANCE AND DISPUTES PROCEDURE Ratified by: Joint Local Negotiating Committee Date Ratified: 20 th May 2010 Name of originator/author: Nicky Littler Name of responsible Joint Local Negotiating Committee committee/individual: Lead Employer Organizations Date Issued: Review Date: Target Audience: Junior Doctors in Training Owner: Lead Employing Organizations in North Western Deanery To ensure services provided by The Lead Employing Trust are accessible, the information is available upon request in a variety of formats including large print, Braille, on audio cassette or computer disk. We can also provide help for British Sign Language users and provide information in languages other than English. The Lead Employing Trust reaffirms its commitment to the Equal Opportunities Policy and the scheme shall be applied fairly to all the Trainees, irrespective of gender, marital status, responsibility for children or dependants, gender reassignment, colour, race, nationality, ethnic/national origin, religion, political beliefs, disability, sexual orientation, age, trade union activities or any other factor, which could lead to the experience of discrimination.
Page 2 Table of Contents 1. INTRODUCTION ------------------------------------------------------------------------------------------- 3 2. SCOPE ------------------------------------------------------------------------------------------------------- 3 3. DEFINITIONS ----------------------------------------------------------------------------------------------- 3 4. STATUS QUO ---------------------------------------------------------------------------------------------- 3 5. REPRESENTATION -------------------------------------------------------------------------------------- 3 6. TIME LIMITS ------------------------------------------------------------------------------------------------ 4 7. STAGES FOR DEALING WITH GRIEVANCES AND DISPUTES ----------------------------- 4 8. IMPLEMENTATION OF DECISION ------------------------------------------------------------------- 6 9. ACAS---------------------------------------------------------------------------------------------------------- 6 10. MONITORING AND REVIEW --------------------------------------------------------------------------- 6 APPENDIX 1 GRIEVANCE NOTIFICATION FORM ------------------------------------------------------------------------ 7 APPENDIX 2 PROCEDURE FOR A STAGE 3 STAGE GRIEVANCE APPEAL HEARING ---------------------- 9 APPENDIX 3 PROCEDURE TO BE FOLLOWED FOR SETTLING GRIEVANCES AND DISPUTES ------- 10 APPENDIX 4 POLICY FLOW CHART --------------------------------------------------------------------------------------- 12 APPENDIX 5 SCHEME OF DELEGATION ----------------------------------------------------------------------------------13
Page 3 Grievance and Disputes Procedure 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 LETs will ensure that all staff have access to a copy of this procedure. The Procedure outlined below complies with the statutory grievance procedure and modified grievance procedure as encompassed in the Employment Act 2002. This policy will be applied fairly and equitably, irrespective of a trainee s sex, race, disability, sexual orientation, religion or belief. For the purpose of this document the Lead Employing Organisation shall be referred to as the LET, the Host Educational Provider as the HEP, the latter includes NHS Trusts, GP Practices and any other accredited training organisations recognised by the North Western Deanery. 2. Scope A grievance may be raised for matters relating to a trainee s employment, with the exception of those detailed below. Disciplinary action and dismissal Nationally determined conditions of service This procedure applies to both individual and collective grievances. Collective grievances would normally enter the procedure at Stage 3 otherwise all references in this procedure to the trainee equally apply to groups of trainees. In using this policy all parties should be mindful of other LET policies which may be more appropriate in certain circumstances, specifically the Bullying and Harassment Policy, and Public Disclosure Act 1998 (Raising Concerns) Policy. 3. Definitions In this procedure a grievance is defined as a source of dissatisfaction to a trainee or group of trainees 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. 4. 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. Status Quo will not apply where there would be a detrimental impact on service provision or where there are over-riding statutory obligations. 5. Representation Trainees have the right to be accompanied by a work colleague or by a representative of a recognised Trade union throughout formal stages of the procedure. The representative may be legally qualified but should not be acting in a legal capacity.
Page 4 6. Time limits The trainee should send the grievance to the HEP, who will inform the LET. The LET should be copied into any written documentation in accordance with the scheme of delegation (Appendix 5). The trainee should raise the grievance within 3 months of the act. 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. Stage 1 - up to ten working days for response Stage 2 - up to a further 14 working days for formal response Stage 3 - up to a further twenty-eight working days for panel to convene It is anticipated that the HEP will deal with grievances at stage 1 of the procedure. The LET and if appropriate the HEP (see scheme of delegation in Appendix 5) will make every effort to not exceed these timescales without good reason. However, there may be circumstances where it is not possible and it is recognised that the timescales can be extended, if necessary, by mutual agreement. Working days for the purpose of this procedure exclude Saturdays, Sundays and public holidays. 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. 7. Stages for dealing with grievances and disputes 7.1 Stage 1 informal resolution Grievances should be resolved at Stage 1 wherever possible. Where a trainee has a grievance they should in the first instance raise the matter with their immediate manager in the HEP. If that manager is the subject of the grievance then this should be raised with the next in-line. This is known as Stage 1 informal resolution. The manager must respond to the trainee within 10 working days. There is no requirement on trainees to put the grievance in writing. However, the manager will set out in writing what action the HEP intends to take to resolve the grievance. Each party may also wish to note in writing their attempts at informally resolving the grievance, should they anticipate evidence of such being required at Stage 2. If the matter is unable to be resolved informally or the timescale is exceeded without good reason, the matter should progress to stage 2. The manager will not discourage the trainee from progressing their grievance should they so elect. If the matter is considered to be a matter relating only to the training programme (for example the allocation of placements or treatment in an ARCP) the Postgraduate Dean should be informed. In some cases it may be appropriate for the Dean (with the LET) to coordinate an investigation of a grievance where the offence was alleged to be caused by an employee of another Trust.
Page 5 7.2 Stage 2 If the grievance has not been resolved at Stage 1 the trainee may refer the problem to more senior management within 14 working days. The trainee is required to lodge stage 2 grievances, in writing, and within the timescale specified above, to the Head of HR at the HEP by completing the Grievance Notification Form which can be found at Appendix 1 of this document. The HEP should inform the LET. A panel comprising an appropriate manager at the next level within the LET/ HEP together with a Human Resources representative who has not been involved in Stage 1 of the grievance will then meet to discuss the issue with the trainee, their representative and the manager who dealt with the problem at Stage 1, (see scheme of delegation Appendix 5). The trainee must take all reasonable steps to attend the meeting. At the meeting the trainee will state their case first, calling upon any relevant witnesses, the Trust must make all reasonable steps to facilitate attendance. 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 manager appointed to hear Stage 2 and by the other party. The manager hearing the case will consider the evidence. All parties to the Stage 1 grievance 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 trainee indicating the reasons for upholding or rejecting the grievance and recording any agreement reached. The outcome will normally be communicated verbally and confirmed with notification of the right of appeal in writing within five working days. A copy will also be sent to the manager who dealt with the grievance at the Stage 1. If the grievance is resolved at this stage the matter ends. The trainee has 14 days from the date of the written letter of confirmation of the decision to refer the matter to Stage 3 of the grievance procedure. This time period may be extended if there are extenuating circumstances and any such delay will be communicated to the trainee with whom a revised time limit will be agreed, but mutual agreement. For collective grievances and disputes the procedure should normally be entered at stage 3. 7.3 Stage 3 The grievance will be heard by the LET with a panel consisting of one Director who will chair the panel, a Senior Manager and a HR Representative who have had no previous involvement with the grievance. A secretary will be appointed to take notes. 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 trainee and the manager who dealt with the problem at stage 2 will be asked to prepare written statements on their respective positions with regard to the problem. The written statements will be forwarded to the Deputy Director of HR and OD or equivalent at the LET The written statements of case will be exchanged with each party as well as submitting both statements of case to the panel at least 5 working days prior to the grievance hearing. The trainee must take all reasonable steps to attend, and the Trust must take all reasonable steps to facilitate attendance. 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
Page 6 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 28 working days of the stage 3 grievance being lodged. The trainee will be informed of the decision of the panel within 5 working days of the hearing. The decision will be forwarded to the trainee 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 trainee and the manager who heard stage 2 of the grievance. The decision of the stage 3 panel is final. 8. Implementation of Decision Where the HEP fails to implement the decision made at any stage of the Grievance procedure the deanery will be informed. The deanery will then be responsible for ensuring that this decision implemented, or if the HET still fails to comply, the deanery will review the training placement and associated funding. 9. ACAS For collective grievances in the event of a failure to agree following the completion of stage 3 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. 10. Monitoring and Review The Head of HR in the LET will record all cases lodged under this policy 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 LET or HEPs in relation to the employment of trainee doctors. The Grievance Procedure will be reviewed regularly by the JLNC no less frequently than every 3 years. Any changes to the procedure will only be made following negotiation and agreement at the JLNC.
Page 7 Appendix 1 Grievance Notification Form Name:* *If this is a collective grievance please provide details of all trainees lodging the grievance on a separate sheet and tick box here: Job title:. Directorate: HEP:.. LET:.. Contact details: Please provide an address and telephone number for you to be contacted in relation 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 and tick box here if an extra sheet is used............... Remedy or outcome sought.....
Page 8 Has the grievance been dealt with at any of the stages of the grievance policy outlined below? If so, please provide the name of the manager who has dealt with the grievance at each stage. Stage 1 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. Stage 2 Yes/No Manager s name Stage 3 Yes/No Manager s name Signed Date LET and HEP contact details Received by.. Date received Receipt Stamp
Page 9 Appendix 2 Procedure for a stage 3 stage grievance appeal hearing 1. The Director will chair the hearing 2. The trainee(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 trainee(s) and any witnesses. 4. The panel members will have the opportunity to question the trainee(s) and any witnesses. 5. The trainee(s) or his/her representative will have the opportunity to re-examine their witnesses. 6. The Management side will then state their case and call any witnesses as required. 7. The trainee(s) or their representative will have an opportunity to ask questions of the management side and any witnesses. 8. The 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. 10. Management will then summarise their position without introducing any new matter. 11. The trainee(s) or their representative will then summarise their position without introducing any new matter. 12. The panel, accompanied only by the secretary, will then consider the case and come to a conclusion. If further information is needed both parties will be recalled. 13. The decision of the appeals panel will then be confirmed in writing to both the parties by the chair of the panel. 14. The decision of the appeals panel is final and binding on the Trust.
Appendix 3 Procedure to be followed for settling grievances and disputes MANAGEMENT LEVEL PROCESS PARTIES INVOLVED TIMESCALE WITHIN WHICH TO RESPOND TIMESCALE WITHIN WHICH THE TRAINEE HAS TO PROCEED TO THE NEXT STAGE Stage 1: Aggrieved trainee discusses matter with immediate manager. Immediate manager of department in which the trainee is working. Grievance discussed on a one-to-one basis. No requirement for the trainee to lodge the grievance in writing nor for the manager to respond in writing. Immediate manager Aggrieved trainee The trainee must be provided with a verbal response within 10 working days, unless an extended timescale is mutually agreed. The trainee has 14 days from the date of the verbal response of confirmation of the decision to refer the matter to stage 2. Stage 2: If grievance not satisfactorily resolved at stage 1, then the aggrieved trainee can proceed to stage 2. Appropriate manager at the next level within the HEP. Grievance should be lodged using Grievance Notification Form, Appendix 1. The grievance is discussed and the outcome of the meeting will be communicated in writing to the trainee. Appropriate senior manager Human Resources Representative (not previously involved) Aggrieved trainee Recognised Trade union representative or work colleague The trainee must be provided with a final response, in writing, within 14 working days, unless an extended timescale is mutually agreed. The trainee has 14 days from the date of the written letter of confirmation of the decision to refer the matter to stage 3. Manager who dealt with initial resolution stage Witnesses if appropriate
Stage 3: If grievance not satisfactorily resolved at stage 2 then the aggrieved trainee can proceed to stage 3. Collective grievance will normally enter the process at stage 3 Panel decision is final and binding on the Trust Panel hearing consisting of a Director, Senior Manager and an HR Representative from the LET. The trainee will lodge the grievance in writing using the Grievance Notification Form, Appendix 1. The aggrieved trainee and the manager who dealt with the stage 2 grievance are required to provide written statements of case which will be provided to the panel no later than 5 working days prior to the hearing. The panel will hear the grievance, in accordance with the procedure outlined in Appendix 2. Panel comprises: Executive Director (Chair) One Director and one Senior Manager of the Trust Human Resources representative (LET) Secretary Aggrieved trainee Recognised trade union representative or work colleague Manager who dealt with stage 1 grievance Witnesses if appropriate The grievance must be acknowledged within 5 working days of receipt and will be heard as soon as practicable, usually within 28 working days of the stage 2 grievance being lodged. The trainee must be provided with the decision of panel within 5 working days of the hearing. The decision of the stage 3 appeal panel is final.
Appendix 4 Policy Flow Chart Trainee HEP LET Deanery Raise grievance with Line Manager within 3 months Stage 1 Forward to LET if appropriate Informal resolution (respond within 10 working days) Deanery to ensure decision implemented Informal Resolution (respond within 10 working days) Submit Stage 2 grievance with Head of HR of the HEP Forward to LET if appropriate Stage 2 (respond within 14 working days) Deanery to be informed of formal grievances and to ensure decision implemented Stage 2 (respond within 14 working days) Submit Stage 3 grievance with Deputy Director of HR of the LET. Stage 3 (panel within 28 working days, outcome inform in 5 working days) Deanery to ensure decision implemented Stage 3 (panel within 28 working days, outcome inform in 5 working days)
Page 13 Appendix 5 SCHEME OF DELEGATION Policy Grievance and Dispute Procedure Application Applies to all specialty trainees employed by lead employer trusts Trainee LET HEP Deanery Aggrieved Trainee discusses matter with immediate manager (HEP) within 3 months of act. Stage 1 If grievance not satisfactorily resolved at stage 1 trainee to submit grievance notification form within 14 working day to Head of HR (HEP) If grievance not satisfactorily resolved at stage 2 trainee to submit grievance notification form within 14 working days to Deputy Director of HR (LET) (Collective grievance entering at stage 3 to be submitted as above) Notify HEP of stage 3 written grievance Undertake stage 3 hearing in accordance with procedure. Provide written response to trainee within 5 working days of hearing Written response within 10 working days (copies to LET) Undertake stage 2 hearing in accordance with procedure. Notify LET of stage 2 grievance and outcome. Provide written response to trainee within 14 working days Present management case at Stage 3 hearing, detailing discussion and outcome of Stage 1 and 2 as appropriate. Responsible for ensuring decisions made at any stage are implemented
Page 14 GRIEVANCE AND DISPUTE PROCEDURE JOINT AGREEMENT OF POLICY This Policy document has been considered and approved by the Representatives of Staff and Management on the Joint Local Negotiating Committee. Signatories: On Behalf of the LETs: Date:.. On Behalf of the LNC: Date:..