HRPOL15 Grievance Policy & Procedure V7

HRPOL15

Grievance Policy & Procedure

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Version:

V7

Ratified by:

People and Culture Steering Group

Date ratified:

14/06/2023

Job Title of author:

HR Business Partner

Reviewed by Committee or Expert Group

Staff Partnership Forum and SPF Policy Subcommittee

Equality Impact Assessed by:

Head of People Partnering

Related procedural documents

HRPOL30 Dignity at Work Code of Practice HRPOL01 Freedom to Speak Up Policy

Review date:

14/06/2026

It is the responsibility of users to ensure that you are using the most up to date document template – i.e. obtained via the intranet.

In developing/reviewing this policy Provide Community has had regard to the principles of the NHS Constitution.

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Version Control Sheet Version V1

Date July 2008

Author HR

Status RATIFIED

V2

HR

APPROVED

HR

APPROVED

V4

November 2011 November 2013 April 2016

HR

RATIFIED

V5

August 2016

HR

RATIFIED

V6

January 2020

HR

RATIFIED

V7

June 2023

HR

RATIFIED

V3

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Comment NEW

Comment from Audit Committee included

Contents 1.

Policy Statement ............................................................................................. 5

2.

Raising a Grievance Informally ....................................................................... 6

3.

Raising a Grievance Formally ......................................................................... 6

4.

Grievance Appeal – Final Stage ..................................................................... 8

5.

Relationships with other Procedures ............................................................... 9

6.

Monitoring ....................................................................................................... 9

EQUALITY IMPACT ASSESSMENT TEMPLATE: Stage 1: ‘Screening’ .............. 10

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1. Policy Statement 1.1

General It is our policy to ensure that all our employees have access to a procedure to help resolve any grievances relating to their employment quickly and fairly.

This procedure applies to all employees and Workforce Solution workers.

However, we reserve the right not to apply this procedure in respect of employees still in their probationary period (refer to the Probationary Policy) or first year of employment. It does not apply to agency workers or self-employed contractors.

1.2

Promptness Any steps under this procedure should be taken reasonably promptly unless there is a good reason for delay. The time limits in this procedure may be extended if it is reasonable to do so.

1.3

Procedure Discontinued We may vary this procedure as appropriate to a particular case. The procedure may also be discontinued if it becomes impracticable for either party to continue with it. In any case we will inform you in writing of the final outcome of your grievance.

1.4

Notification of Disability Difficulties If you have difficulty at any stage of the grievance procedure because of a disability, you should notify us so that we can provide assistance.

1.5

Right to be Accompanied All employees have the right to be accompanied at any formal meetings by a trade union representative or a work colleague.

1.6

Right to Refuse Companion In some circumstances your choice of companion may not be allowed: for example, anyone who may have a conflict of interest, or whose presence may prejudice the meeting. We may also ask you to choose someone else if the meeting would have to be delayed for over five working days because your companion is unavailable.

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2. Raising a Grievance Informally 2.1

Employees will be required to outline their grievance, giving specific details, and confirm the outcome sought. If the grievance is against their manager it may be raised with the manager’s line manager. The issue(s) raised should be dealt with as quickly as practicable. The manager will investigate the matter.

This may involve meeting with the employee, on more than one occasion if necessary, and considering any supporting information provided.

2.2

Most grievances can be resolved quickly and informally through discussion, this may include facilitated conversations or through mediation. If both parties agree to engage in a facilitated discussion as a way of resolving their issues, the manager should contact the People Partnering Team as soon as possible so this can be arranged.

2.3

If an informal process does not resolve the problem, you should follow the formal procedure below.

3. Raising a Grievance Formally 3.1

To raise a formal grievance the employee should submit the grievance in writing to their manager or their manager’s line manager (if the grievance is against the immediate manager) within 14 calendar days (excluding bank holidays) of receiving the outcome of the Informal Stage. The employee should clearly state the basis of any grievance(s), the outcome being sought, and the reasons for continuing to be aggrieved. If a formal grievance is not received within the time limit it will be taken that the grievance is settled, unless a delay has been expressly agreed in advance with the Assistant Director or Head of Service.

3.2

In exceptional circumstances, a grievance may be lodged at the Formal Stage without reference to the Informal Stage if both the manager and the line manager’s manager are both the subject of the grievance. The Formal Stage Grievance must be submitted to the relevant senior manager in writing who will make a decision and confirm in writing to the employee: •

if the grievance should be considered directly under the Formal Stage of this procedure; or

•

whether it should be referred back to the Informal Stage; here, an appropriate manager with the relevant authority will be nominated to try and resolve it at that stage; this would be without prejudice to the employee’s right to proceed to the Formal stage if dissatisfied with the Informal Stage outcome.

3.3

A grievance raised in accordance with the Dignity at Work Code of Practice which has had no resolution at the Informal Stage of that Code will be raised at the Formal Stage of this procedure. In this situation, the Investigating Officer may be a manager from another Division/Directorate.

3.4

On receipt of a Formal Stage Grievance, the designated manager will investigate the matter as the Investigating Officer.

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3.5

•

They will meet with the employee, within 14 calendar days (excluding bank holidays) of receipt of the Grievance in order to confirm the grievance and outcome sought, and agree an indicative timescale for the investigation.

•

This may involve meeting with the employee on more than one occasion and considering any supporting information provided, to investigate and resolve the matter.

•

They may meet with the employee lodging the grievance and the employee the grievance is against, they may also need to meet with any witnesses identified by either party.

•

The People Partnering Team will support the Investigating Officer as appropriate. Investigating Officers should have received appropriate training in investigation skills or equivalent.

The Investigating Officer will write to the employee the grievance is against outlining: • • •

the nature of the grievance, the outcome sought, and advise of any meetings set up to investigate and resolve the matter.

3.6

After due consideration, the Investigating Officer may uphold or dismiss the grievance. Where possible, they will meet with the employee raising the grievance and the employee the grievance is against, either separately or together, to inform them of their decision and if applicable, outline any proposed action(s)/recommendations that should be taken. If recommendations have been made, a review period should be agreed along with details of who and how the recommendations will be reviewed.

3.7

Following an outcome meeting, the Investigating Officer will confirm their decision in writing, to the employee raising the grievance within 7 calendar days (excluding bank holidays). The letter will also confirm the employee’s right to take their grievance to the Appeal Stage if they remain dissatisfied with the outcome.

3.8

The Investigating Officer will also confirm in writing, their decision to the employee the grievance is against within 7 calendar days (excluding bank holidays) of any meeting.

3.9

The outcome of the grievance investigation may be as follows: •

• • •

Grievance upheld – The Investigating Officer will confirm that the grievance is substantiated. Recommendations may be made by the Investigating Officer to resolve the cause of the grievance, and mediation may be included to facilitate an effective working relationship in the workplace.

Grievance dismissed – The Investigating Officer will confirm that there is no case to answer.

Grievance dismissed with suggested course of action – this may be for line management actions. Mediation may be recommended to ensure there is an effective working relationship in the workplace.

Uphold / dismiss separate sections of a grievance that contains multiple issues that were raised.

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3.10

The use of mediation can be beneficial in resolving grievances following the outcomes being given, due to the potential ongoing conflict that can remain. If recommended as part of a grievance outcome, then a pre-mediation session would be offered. Both parties to the grievance would be given the opportunity to be accompanied at a pre-mediation session by a union representative or workplace colleague, in order to agree objectives of the mediation. Subsequent sessions would be held confidentially with the mediator and the parties to the grievance.

4. Grievance Appeal – Final Stage 4.1

Appeals can be made in relation to the following circumstances: • • • •

4.2

the grievance was not upheld where the evidence does not support this outcome; the correct policy or process was not followed; new evidence has come to light that would change the outcome; the outcome is inconsistent with how others have been treated.

To raise an appeal this should be submitted in writing to their Assistant Director/Service Lead within 14 calendar days (excluding bank holidays) of the date of the letter confirming the outcome of the Formal Stage.

The employee should clearly state the reason for continuing with the grievance and the outcome being sought. If an Assistant Director/Service Lead dealt with the Formal Stage of the Grievance then the Appeal should be submitted to the line manager for the Assistant Director/ Service Lead.

4.3

If an Appeal is not received within the 14 calendar days (excluding bank holidays) time limit it will be taken that the grievance is settled, unless a delay has been expressly agreed in advance with the Assistant Director/ Service Lead/Director. The only exception to this is where an employee has accepted the Formal Stage outcome but the proposed actions from this have not been implemented within the agreed timescale. If this occurs, the employee may request that a Grievance Appeal hearing is convened.

4.4

The Appeal Panel for the meeting will normally consist of the Assistant Director of the employing Directorate, or the Director if the Assistant Director is named as part of the grievance, and a representative from the People Partnering Team. Management may include a third panel member if the case is considered particularly complex.

4.5

The Chair of the Appeal Panel will: •

make arrangements for a hearing to be convened to consider the grievance within 28 calendar days (excluding bank holidays) of receipt of the Grievance Appeal; where an appeal cannot be considered within this time period, an explanation must be provided and a new timescale agreed;

•

give the employee at least 14 calendar days (excluding bank holidays) written notice of the appeal hearing; if, for an unavoidable reason, the employee is unable to attend on the date set for the hearing an alternative date may be set on one occasion only; after this, unless the Chair of the Page 8 of 11

Panel considers there is good cause for further delay, the grievance will be dismissed.

•

send a letter to the employee confirming arrangements for the hearing.

4.6

The employee raising the grievance has a responsibility to obtain the agreement of witnesses attending on their behalf before passing their names to the Chair of the Panel.

4.7

The outcome of the appeal may include overturning or confirming the original decision or apply a different resolution, including facilitated discussion/mediation if appropriate.

4.8

The decision at the Appeal Stage will be confirmed in writing within 7 Calendar days (excluding bank holidays) of the hearing to both the employee lodging the grievance and the employee the grievance is against. This decision is final and exhausts the Grievance Procedure.

5. Relationships with other Procedures 5.1

If the grievance is raised during the course of a disciplinary process advice should be sought from the People Partnering Team. Usually, if the grievance is related to the case / allegations then it should be looked into as part of that disciplinary process and be considered by the disciplinary panel.

5.2

If the grievance is about another unrelated matter then the grievance procedure should be invoked and run concurrently (this would not impact on any outcome of the disciplinary process as that would be dealt with on its own merit).

5.3

Where an employee is subject to a probationary period and the grievance concerns the application of the probation procedure this will be dealt with as part of any discussion or meeting under the probationary procedure. Other grievances can be raised using the grievance procedure but no extension of any notice of termination of employment under the probation procedure will be granted.

5.4

Where separate procedures exist for dealing with concerns on particular issues these should be used instead of the grievance procedure.

6. Monitoring 6.1

This policy will be reviewed at least every 3 years in line with the Policy for the Management of Procedural Documents and more frequently in line with any legislative changes.

6.2

Review will be undertaken by a CIPD registered member of the People Partnering Team and monitoring will be conducted in respect of grievance outcomes. The need for improvement or clarification may be identified as lessons learnt, through using the process and where appropriate amendments will be made.

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EQUALITY IMPACT ASSESSMENT TEMPLATE: Stage 1: ‘Screening’ Name of project/policy/strategy (hereafter referred to as “initiative”):

Grievance Policy & Procedure

Provide a brief summary (bullet points) of the aims of the initiative and main activities: Outlines the policy and procedure for handling grievances.

Project/Policy Manager: Head of People Partnering

Date: June 2023

This stage establishes whether a proposed initiative will have an impact from an equality perspective on any particular group of people or community – i.e. on the grounds of race (incl. religion/faith), gender (incl. sexual orientation), age, disability, or whether it is “equality neutral” (i.e. have no effect either positive or negative). In the case of gender, consider whether men and women are affected differently.

Q1. Who will benefit from this initiative? Is there likely to be a positive impact on specific groups/communities (whether or not they are the intended beneficiaries), and if so, how? Or is it clear at this stage that it will be equality “neutral”? i.e. will have no particular effect on any group.

Neutral

Q2. Is there likely to be an adverse impact on one or more minority/under-represented or community groups as a result of this initiative? If so, who may be affected and why?

Or is it clear at this stage that it will be equality “neutral”?

Neutral, HR data is not highlighting that colleagues from minority/underrepresented groups are raising more grievance of grievances are being raised against them.

Q3. Is the impact of the initiative – whether positive or negative - significant enough to warrant a more detailed assessment (Stage 2 – see guidance)? If not, will there be monitoring and review to assess the impact over a period time? Briefly (bullet points) give reasons for your answer and any steps you are taking to address particular issues, including any consultation with staff or external groups/agencies.

Impact is positive, no further detailed assessment required.

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Guidelines: Things to consider Equality impact assessments at Provide take account of relevant equality legislation and include age, (i.e. young and old,); race and ethnicity, gender, disability, religion and faith, and sexual orientation.

The initiative may have a positive, negative or neutral impact, i.e. have no particular effect on the group/community.

Where a negative (i.e. adverse) impact is identified, it may be appropriate to make a more detailed EIA (see Stage 2), or, as important, take early action to redress this – e.g. by abandoning or modifying the initiative. NB: If the initiative contravenes equality legislation, it must be abandoned or modified.

Where an initiative has a positive impact on groups/community relations, the EIA should make this explicit, to enable the outcomes to be monitored over its lifespan.

Where there is a positive impact on particular groups does this mean there could be an adverse impact on others, and if so can this be justified? - e.g. are there other existing or planned initiatives which redress this?

It may not be possible to provide detailed answers to some of these questions at the start of the initiative. The EIA may identify a lack of relevant data, and that data-gathering is a specific action required to inform the initiative as it develops, and also to form part of a continuing evaluation and review process.

It is envisaged that it will be relatively rare for full impact assessments to be carried out at Provide. Usually, where there are particular problems identified in the screening stage, it is envisaged that the approach will be amended at this stage, and/or setting up a monitoring/evaluation system to review a policy’s impact over time.

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