Human Resources Grievance and Disputes Policy Document Control Summary Status: Replacing H/BLU-gh-06 Version: V2.0 Date: January 2018 Author/Owner/Title: Author: reviewed by Emily Fraser, Senior HR Advisor Owner: Alyson Sargeant, Head of Recruitment and Resourcing Approved by: Policy and Procedures Committee Date: 18 January 2018 Ratified: Trust Board Date: 25 January 2018 Related Trust Strategy and/or Strategic Aims Deliver regulatory, financial, performance and quality standards Implementation Date: February 2018 Review Date: January 2019 Key Words: Grievances, disputes Associated Policy or Standard Operating Procedures Not applicable stand alone policy and procedure. 1
Contents 1. Introduction 2. Principles 3. Scope and Purpose 4. Duties and Responsibilities 5. Definitions 6. Representation - Implementation - Training - Equality Impact Assessment - Monitoring Compliance 7. Seeking External Advice 8. Informal Process 9. Formal Stage 1 Grievance Meeting 10. Formal Stage 2 Appeal Meeting 11. Training 12. Monitoring and Review 13. Related Documents 14. Implementation 15. Equality Impact Assessment 16. Monitor Compliance 2
Change Control Amendment History Version Dates Amendments 2 January 2018 Section 4 - Human Resources and Organisational Development and Equalities Committee corrected to Workforce and Development Committee Sections 8&9 removal of reference to appendices 1&2 (see below) Sections 9&10 consistency applied in use of grievance meeting, rather than grievance hearing. Section 10 the time for an appeal to be sent in has increased from 5 to 10 days for consistency across policies. Appendix 1 has been removed from the policy, but is available as the Record of Grievance on the Trust Intranet Appendix 2 has been removed. Appendix 3 has become appendix 1 3
1. INTRODUCTION 1.1. The aim of this policy is to resolve both individual and collective grievances and disputes raised by an employee or group of employees. 1.2. To outline arrangements which are publicised, well defined and which ensure a fair, effective and consistent method of dealing with grievances and disputes. 1.3. To ensure that in the interests of both the Trust and the employees, that grievances and disputes are resolved as quickly as possible and as near as possible to the point of origin. Employees are therefore advised to raise issues informally with their supervisor or line manager in the first instance. However where this does not resolve the matter, employees are encouraged to use the grievance procedure to deal with issues promptly and prevent matters becoming a cause for concern for individuals or the Trust. Therefore, there is an expectation that both the Trust and the employee/s should actively work together to resolve the grievance with a commitment to attend any meeting arranged to discuss the issue concerned. 2. PRINCIPLES 2.1 Employees using the grievance procedure will be treated in a fair and equitable manner and care taken to ensure that confidentiality is maintained and any form of victimisation prevented. Any malicious allegation raised as part of the grievance, may lead to disciplinary action being taken. 2.2 This policy applies to all members of staff regardless of band or discipline. 3. SCOPE AND PURPOSE 3.1 The procedure outlines sequential stages to be followed for grievances or disputes. 3.2 The procedure may be used where an: individual employee or group of employee s are aggrieved by a management decision or action. employee or a group of employee s, supported by their Trade Union or Professional Association, are aggrieved by a management decision or action. 3.3 The procedure is not intended to apply to the settling of differences relating to: Dismissal or other disciplinary sanctions resulting from Disciplinary action Issues that have their own review or appeal mechanisms ie Bullying and Harassment 3.4 Employees are encouraged to initially approach their Supervisor/Manager. However it is recognised that in certain circumstances an employee may feel that it is appropriate to seek the advice/involvement of their local trade union/professional association prior to this. In the event of this failing to resolve the matter informally the formal procedure should be followed. 3.5 It is important for the employee to declare at the outset that they are making use of the grievance procedure. 4
3.6 In the interests of good employee relations, each stage of the procedure should be undertaken without any unreasonable delay. Whilst it is anticipated this should be kept to a minimum it is also acknowledged that each case will be individual. Managers should communicate the timeframe within which they will respond to the Grievance. 3.7 Each stage of the procedure will be will be confirmed in writing to the Employee/s by management, and if appropriate their representative. These records will be retained on the individual s personal file. 3.8 Complaints should be raised at the earliest opportunity but no longer than 8 weeks after the event which led to the employee feeling aggrieved. 4. RESPONSIBILITIES 4.1 Trust Board The Board has responsibility to oversee this policy and ensure that appropriate processes and actions are in place to ensure employees are treated in a fair and consistent manner. 4.2 Clinical/Divisional/Service Directors Are responsible for ensuring appropriate systems and processes are in place across their Division to monitor the timescales of any Grievance case and ensuring that the Policy is adhered to, as well as disseminating shared learning arising out any Grievance cases. 4.3 Workforce and Development Committee The W&D Committee are responsible for ensuring that this policy is effectively and appropriately implemented. They are also responsible for ensuring that the processes within the policy are monitored and non-compliance is acted upon. 4.4 Human Resources Department The Human Resources Department are responsible for ensuring support and guidance is provided to managers enabling a fair and consistent process is followed. Human Resources will also ensure that cases are recorded and maintained on ESR. 4.5 Staff Side Representatives Staff Side are responsible for supporting their members in a timely manner within the timeframes stipulated. 4.6 Line Managers Line Managers are responsible for ensuring employees are aware of this policy and understand its contents. They are responsible for maintaining appropriate records and adhering to the timescales referred to in this Policy and to communicating appropriately with staff. 4.7 All Staff All staff employed by the Trust have an obligation to abide by this policy and to raise their grievance within timeframes stipulated. 5
Where an employee wishes to be accompanied or represented by Union Representative or a Trust employed work colleague they will be responsible for arranging this. 6
5. DEFINITIONS 5.1 A Grievance is any situation in which an individual employee has a disagreement with a manager regarding a management decision or action. 5.2 A Collective Grievance or Dispute is where the grievance is raised by two or more similarly affected employees and usually through a Trade Union or Staff Association recognised by the Trust. 5.3 Status Quo 5.3.1 Status Quo refers to the working arrangements and management arrangements which applied immediately before the grievance/dispute. 5.3.2 Status Quo is only applicable to use where the grievance/dispute relates directly to a financial issue. 5.3.3 Status Quo will remain in place for 50 working days following the grievance/dispute being raised. Where no resolution has been identified after this timeframe Status Quo no longer applies. 6 REPRESENTATION 6.1 Employees are entitled to be accompanied to all Grievance meetings by either a Recognised Trade Union/Professional Body Representative or an existing employee of the Trust. 6.2 An employee asked to act in this capacity does have the right to refuse. 6.3 Where the representative is unable to attend the meeting owing to previous commitments the meeting will be re-scheduled once only if the employee suggests an alternative date and time within 5 working days of the original meeting. 6.4 The Trust, at its discretion, may allow an employee to bring additional support to those stated in 6.1 where this will overcome a particularly difficulty for example a disability or some other specific issue. 6.5 The representative s role is to support the employee. They may present, ask questions or summarise the employee s case. However, they may not answer questions on behalf of the employee. 7 Seeking External Advice 7.1 As a general rule the management of grievances will be contained within the Trust. However, for collective disputes, independent advice may be sought jointly or by one of the parties, for example from the Advisory, Conciliation and Arbitration Service (ACAS) or other appropriate bodies. The range of specialist services may include conciliation, mediation and arbitration will be applied subject to the agreement of both parties and only after full exhaustion of the Grievance Procedure. 7
The Procedure 8 INFORMAL PROCESS 8.1 It is expected that all Grievances will be attempted to be resolved informally, prior to invoking the formal procedure. 8.2 The Grievance will be raised with their immediate Line Manager stipulating use of the Procedure at the Informal Stage and stating the nature of the issue by completing the Record of Grievance Form. Human Resources should be advised in order that the case can be recorded on to ESR. 8.3 In circumstances where a group of employees have a grievance (a collective grievance), the group s spokesperson and representative will approach the immediate Line Manager. In such cases, the Trust will require each individual to sign a letter indicating they are requesting this process. 8.4 The Manager concerned will then meet with the staff member, or in the case of a collective grievance the group s spokesperson, to discuss the issue. This meeting will take the form of an informal discussion at which both parties will attempt to reach an agreed resolution. This meeting will be held within 10 working days of receipt of the Grievance. 8.5 The outcome of the meeting will be communicated in writing to the employee within 5 working days and informed of the right of appeal. 9 FORMAL STAGE 1 GRIEVANCE MEETING 9.1 Where an employee remains dissatisfied after the Informal Stage, the employee should raise the matter in writing at the First Formal Stage by completing the appropriate section of the Record of Grievance Form. Employees are also encouraged to suggest/propose a resolution. The completed Grievance Form should then be forwarded to the Service Manager/Head of Department within the Employee s work area within 5 working days of receiving the outcome of the Informal Stage. 9.2 On receipt of the completed Grievance Form a meeting will be convened and undertaken by the Service Manager/Head of Department. This will be conducted in accordance with the protocol outlined in Appendix 2. The employee/s will be given the opportunity to present their grievance/dispute and to call any witnesses. 9.3 The Manager presenting the management case will be given the opportunity to present the rationale for their decision and to call any witnesses. 9.4 Written cases and supporting documentation should be forwarded to the Panel Chair 10 working days in advance of the meeting. These will be exchanged 5 working days in advance of the hearing. 9.5 The Service Manager/Head of Department will be supported by Human Resources throughout the meeting. 9.6 The outcome of the meeting will be communicated in writing to the employee within 5 working days and inform of their right to appeal against the decision. 8
10 FORMAL STAGE 2 APPEAL MEETING 10.1 If the employee is dissatisfied with the outcome of the Formal Grievance Meeting, they can lodge an appeal under the Formal Stage 2. 10.2 Any appeal should be submitted in writing, again completing the appropriate sections of the Record of Grievance, within 10 working days of receipt of the outcome of the Grievance Meeting to the Divisional/Service Director or nominated Manager. This should clearly state the reason for the appeal. 10.3 The Divisional/Service Director or nominated Manager will then arrange an appeal meeting under the Second Stage of the Procedure as identified in Appendix 2. The employee will be given the opportunity to present their grievance/dispute and to call any witnesses. 10.4 The Manager presenting the management case will be given the opportunity to present the rationale for their decision and to call any witnesses. 10.5 Written cases and supporting documentation should be forwarded the Panel Chair 10 working days in advance of the meeting. These will be exchanged 5 working days in advance of the meeting. 10.6 The Service Director will be supported by Human Resources throughout the appeal meeting. Where deemed appropriate the panel may also be supported by a Professional Lead. 10.7 The decision of the Appeal Panel shall be final. 11 TRAINING 11.1 Training will be provided and is mandatory for all employees who have direct staff responsibility. 11.2 Training can be completed via e-learning. 11.3 Once undertaken refresher training should be undertaken where the Policy has been revised and re-launched. 12 MONITORING AND REVIEW 12.1 Human Resources are to be notified of all grievances raised. 12.2 A record of the outcome at all stages of the procedure will be retained on the relevant personal file. 12.3 All Grievances raised under the Formal Stages will be recorded on to the Electronic Staff Record (ESR). 12.4 A report will be published on a monthly basis surrounding the number of cases and will be included as part of the HR Directorate Report to Service Directors, HR & OD Sub Committee and the Equality and Diversity Group. 9
13 RELATED DOCUMENTS 13.1 The above process is based on the ACAS Code of Practice Disciplinary and Grievance Procedures (April 2009). 13.2 Recognised Trade Unions/Professional Associations are those identified within the Trust s Recognition Agreement. 13.3 Equality Impact Assessment Form. 14. IMPLEMENTATION 14.1 The policy will be implemented through dissemination to managers within the Trust. Communication to all staff on the new policy will be through Directorate DMT Reports. 15. EQUALITY IMPACT ASSESSMENT 15.1 This policy has been Equality Impact Assessed, a copy of this may be obtained from the Trust website. 16. MONITOR COMPLIANCE 16.1 This policy will be reviewed every three years or before if there are legislation changes. The monitoring of this policy includes an annual audit that comprises of the following table. Where non-compliance is identified an action plan will be drawn up and monitored at the W&D Committee. Where remedial action can be taken immediately, the action must be recorded appropriately. Aspect of compliance or effectiveness being monitored Number of formal Grievances raised under the procedure Monitoring method Audit Individual/ department responsible for the monitoring Human Resources Department Frequency of the monitoring activity Group/ committee/ forum which will receive the findings/ monitoring report Monthly Divisions and Directorates Committee/ individual responsible for ensuring that the actions are completed Directorate Management/ Senior Management Team Meetings. 10
APPENDIX 1 OUTLINE OF GRIEVANCE/DISPUTES PROCEDURE Grievance raised with immediate Line Manager Within 8 weeks of the Management Decision Informal Discussion No Resolved With 5 working days Yes File record on Personal File - No further action Grievance raised under Formal Stage Record of Grievance Form Completed and forwarded to Service Manager/Head of Department Grievance Meeting Scheduled and Panel supplied with written cases/ evidence File record on Personal File - No further action Yes Resolved No Within 5 working days Grievance Meeting held Grievance raised under Formal Stage 2 Record of Grievance Form updated and forwarded to relevant Service Director along with reasons for appeal Appeal Hearing scheduled and Panel supplied with written cases/evidence Decision Final File record on Personal File no further action Individual notified of the outcome in writing Appeal Hearing held 11