Grievance

Procedure

Page 1 of 14Grievance Procedure

Contents:

  1. Introduction and Application...... Page 3
  1. Definition of a Grievance…………………………………………………………………..Page 3
  1. Responsibilities and Roles...... Page 4-5
  1. Principles...... Pages 5-6
  1. Informal Procedure (Stage 1) ...... Page 6-7
  1. Formal Procedure (Stage 2) ...... Page 7-8
  1. Right of Appeal (Stage 3) ...... Page 9
  1. Special Circumstances...... Page 9-10
  • Grievances lodged during disciplinary action
  • Grievances against an employee who is a trade union representative
  • Grievances raised by former employees
  • Collective grievances (grievances raised by more than one person)

Flowchart – Overview of Managing Grievances...... Page 11

Flowchart – Grievance AppealHearing...... Page 12

Formal Grievance Form………………………………………………………………… .. Appendix 1

GRIEVANCE PROCEDURE

1.Introduction and Application

This document sets out the principles and procedures for managing grievances in a fair and equitable mannerwhichenablesemployeestoraisemattersrelatingtotheiremployment,intheknowledgethateveryeffortwillbemadetoseekaspeedyandeffectiveresolutionwithmanagers. The aims of this procedure are:

  • to provide staff with a clear framework within which they can raise a grievancewithoutfearofredressoractionofanykindbeingtakenagainstthem
  • to provide managers with both an informal and a formal procedurewith which to respond to grievances
  • to achieve the early resolution of staff grievances
  • to ensure consistency and fairness of treatment.

The procedure takes account of best practice, legislative requirements and guidance contained in the ACAS Code of Practice on Discipline and Grievance Procedures.

The procedure applies to all employees with the following exceptions:

  • Agency workersand Casual Workers
  • The Principal, Academy Council Members and centrally employed staff who are governed by the relevant Woodard Academies Trust Policy.

2.Definition of a Grievance

The procedure should be used for grievances about the rights of employees under their conditions of service and any other matters relating to their employment. The ACAS Code of Practice describes grievances as “concerns, problems or complaints that employees raise with their employers”.

Examples of issues giving rise to grievances include matters relating to:

•Conditions of employment

•Supervision or management

•Workplace relations

•Working environment

•Health and safety

•Organisational change

•Discrimination on the grounds of race, sex, disability, sexual orientation, religion or belief or age.

This list is not exhaustive.

The procedure does not apply in the case of:

  1. Disciplinary and dismissal decisions
  2. Questions relating to statutory adjustments to pay and allowances (e.g. income tax, national insurance, occupational pension scheme and statutory sick pay)
  3. National agreements (other than local interpretation)
  4. Grading issues (these should be raised through the appeals procedure of the relevantpay policy)
  5. Personal matters not directly related to employment or conditions of service
  6. Bullying and harassment cases (which are covered by the Dignity at Work Policy)
  7. Anattemptwithinsixmonthsofthecompletionofactionunderthegrievanceproceduretorestarttheprocedureinrespectofthesameorsimilargrievance, unlessactiondecideduponbymanagementtoredressthatgrievancehasnotbeenimplemented.

Separate procedures exist for dealing with disciplinary matters, the management of unsatisfactory performance, sickness absence and medical capability.

3.Responsibilities and Roles

Whom / Responsibilities
Employee / To ensure their actions are consistent with expected standards of conduct.
Toread,understandandcomplywiththeGrievancePolicy
To try and deal with thegrievance at the nearestpoint of origin and where appropriate,firstapproachthemanagerinordertodiscusstheprobleminformally
Toattendmeetingsasrequired
Tosubmitformalgrievancesinwriting, where relevant,usingAppendix1
To raise with their Line Manager/HR Representative if any aspect of the grievance procedure, which causes difficulty on account of a disability, or if assistance is required because English is not their first language.
Manager or Principal / To ensure their actions are consistent with expected standardsof conduct
ToensurethatemployeesareawareoftheGrievance Policy
To conduct Stages 1, 2 and 3 of this procedure as appropriate, endeavouring, where possible, to resolve matters as quickly as possible and at an early stage
ToensurethattheinformalStageisusedwhereverpossiblepriortoanyformalactionbeingtaken
If considering issues under the formal procedure, to conduct a fair hearing, ensuring there has been a thorough investigation, that the employee is provided with the opportunity to respond and that the outcome is reasonable in view of all the circumstances
To arrange for the proper management of the hearing, including the attendance of witnesses, the employee’s companion and a note taker
To inform the employee of the outcome of the hearing in writing and confirm the right of appeal, copying HR into thedecision letter
Totreatallemployeesfairlybyapplyingthepolicyconsistentlyandensuringthatanypersonalinformationiskeptincompleteconfidenceand in accordance with the Data Protection Act 1998.
Human Resources / To provide advice, guidance and support to the Manager/Principalto ensure that the Grievance Procedure is followed correctly
To support the Manager/Principal at the Hearing or Appeal Stage, ensuring a fair, reasonable and equitable approach.

Roles:

Level of procedure / Action / Grievance Hearing/Appeal
Stage 1: Informal / Managerto resolve / N/A
Stage 2: Formal / Investigation by Manager/appointed investigator / Principal/SeniorManager
Stage 3: Appeal / Investigation by appointed investigator (as required) / Panel of 3Academy Council Members or Principal plus HR

4.Principles

The following principles will apply:

  • All proceedings, whether informal or formal, will, so far as is practicable, remain confidential. The employee is also expected to abide by this principle and not discuss the details with other employees, anyone outside the Academy and, in particular, with students.
  • Employees have the right to be accompanied at formal Stages by a ‘companion’ who is his/her trade union representative or a work colleague. Where the choice of the companion(other than a union representative) presents a conflict of interest to the Academy, the Manager reserves the right to request an alternative companion.
  • Although there is no statutory right for an employee to be accompanied at any investigatory meeting this will be permitted where it does not cause unnecessary delay to the investigation.
  • Reasonable adjustments will be considered for employees with a disability, for example, location of hearing and choice of companion(where assistance is required).
  • No unnecessary delay should occur during the investigation or formal Stages. The Academy will attempt to reschedule the meeting/hearing, normally on one occasion, in the event of failure to attend or when the companion is not available. If the employee or his/her Companion is unable to attend on this date, a suitable alternative should be agreed upon, preferably within five days of the original date.
  • If non-attendance is due to a serious medical reason, the employee must inform the Manageras soon as possible. Written confirmation together witha medical certificate must be submitted which cover the relevant dates.
  • The option of mediation to resolve the grievance can be considered at any stage of the grievance and if not considered earlier must be considered during Stage 2 or a reason provided as to why it is inappropriateto Corporate HR.
  • The Chair of a hearing may commission HR to attend any hearing where it is considered that HR support is required for complex issues. The outcome of a grievance hearing will be notified to Human Resources for recording and monitoring purposes.
  • Decisions will be taken on the ‘balance of probabilities’, taking into account all the evidence presented.

Status Quo - Theworkingarrangementsatthetimeofthegrievanceisraisedwillbemaintainedduringtheprocessoruntilthematterisresolved. Managementreservestherighttovarythisprovision whereitisconsideredthatthemaintenanceofthe“statusquo”mightbedetrimentaltothehealth,safetyandwelfareofemployees, studentsormembersofthepublic.

  • The grievance or appeal hearing will be conducted in accordance with the arrangements set out in the Flowchart on page 12.

5.Stage 1: Informal Procedure

Many workplace problems are easily resolved in an informal manner.Therefore Line Managers and employees are encouraged to seek to resolve workplace problems in an informal manner and every effort should be made to do this before using any formal procedures.

Employees should feel encouraged to bring their concerns to their Line Manager without fear of reprisal or censure. In all but the most serious of cases, employees are strongly encouraged to raise a grievance informally first. Raising an informal grievance does not mean that it is not important, rather that an open, honest dialogue may be the most appropriate and promptroute to solve a concern before it escalates further.

Informal grievances are conducted as discussions between the employee and their Line Managerbut may involve other employees as appropriate and if agreeable between all parties.

If the grievance is with the Line Manager, the employee should approach the Principal who may choose to delegate responsibility for dealing with the matter to another Manager.Where this occurs, the employee should attempt to resolve the matter by speaking to the appointed Manager on an informal basisfirst.

The Informal Meeting

The Managershould seek to understand the employee’s concerns, what outcome the employee is seeking and whether any further meetings are needed. More than one discussion may be required to achieve a resolution. At the end of the meeting/s, the employee and the Manager should agree what actions will be taken to achieve an acceptable outcome, and by when.

If the grievance is related to the behaviour of another employee, the person raising the grievance will be informed if action will be taken but not the nature of the action.

It is good practice for the Managerto make a note of this meeting, outlining the issues discussed, and the outcomes from the meeting. This note should be shared with the employee.

If the employee and the Managerhave been unable to resolve the grievance, the employee may consider raising a formal grievance. It is recommended that employees in this situation seek the advice of a trade union representativebefore taking further action.

6.Stage 2: Formal Procedure

If an employee feels that his/her Manager has not been able to resolve his/her concerns adequately at an informal meeting, then the employee can raise the grievance formally.

The employee must put down the nature of the concern in writing using the FormalGrievance Form at Appendix 1. Employees should keep a copy of the grievance, and may choose to share it with their Companion.

The grievance must be submitted to the Principal, who may choose to delegate responsibility for dealing with the matter to another Manager. If the grievance concerns the Principal, it should be sent to the Clerk to the Governors, who will make arrangements for anAcademy Council Member panel to consider the case.

Where the grievance is against the Academy Council Members, the grievance should be submitted to the Clerk to the Council, who will forward the matter to the Corporate HR Team for action.

Those receiving the grievance will acknowledge the grievance in writing within five working days, and will arrange for a Grievance Meeting to take place within ten working days of the grievance being raised, at a suitable time and place. The Principal/Manager will lead the meeting.

The employee may bring a Companion to the meeting.

The meeting should be conducted with calmness and openness. The employee will be given the opportunity to explain his/her concerns and say how the matter might be resolved. It may be necessary to hold more than one meeting to resolve the issue. If this is the case, then this must be discussed with the employee at the meeting.

At the meeting, the Principal/Manager may be able to resolve the grievance. Alternatively, he/she may need further information to help understand what has occurred, and so will initiate an investigation.

The Principal/Manager will need to keep notes of the meeting, or arrange for a note taker to be present, and should share the notes with the employee after the meeting.

The Investigation Process

Investigations may take place at two levels:

Level 1: Simple, fact-finding investigation. Either before or following the Grievance Meeting, the Principal/Manager may need to verify certain facts, get copies of documents etc. This can be carried out to enable a quick resolution of the grievance. However, if the grievance is of a more complex nature, and if witnesses need to be interviewed, then it may be necessary to appoint an Investigating Officer, to investigate the issues raised by the employee.

Level 2: Full Investigation. The Principal/Manager will appoint a suitably independent and senior Investigating Officer to carry out a full investigation. The Investigating Officer must be appointed within five days of the grievance being referred for an investigation, and ideally concluded within three weeks.

During the Investigation, the Investigating Officer will need to interview the employee concerned, plus other employees whose information will have a bearing on the matter. The employee(s) may be accompanied to this meeting by a Companion as long as it does not cause unnecessary delay to the process. The aim will be for this process to be carried out confidentially and as swiftly as is practicable. It is not the duty of the Investigating Officer to make a decision about the employee’s grievance. His/her role is to ascertain the facts, and then present the facts to the Principal/Manager in writing in an Investigation Report.

Documentation relating to the grievance should be treated as confidential and kept in accordance with the Data Protection Act 1998. This means that information about third parties should be disclosed only with that person’s consent and if it is reasonable in the circumstances to do so. In some circumstances, it may be necessary to anonymise a report or a witness statement. Further advice in this area is available from Human Resources.

Outcomes

Once the Investigation Report has been received, the Principal/Manager may need to reconvene the Grievance Meeting, to ask further questions. Once again, the employee may be accompanied by his/her Companion. The Principal/Manager will invite the Investigating Officer to the meeting to explainhis/her findings, and the employee or Companion may ask questions. There will also be an opportunity for the employeeand the investigating officer to ask witnesses to attend the meeting to provide information to supplement their witness statement(s) if required.

Having heard all the information, the Principal/Manager will adjourn the meeting to consider a response.

The possible outcomes following a Grievance meeting are as follows:

  • The grievance is upheld in full;
  • The grievance is rejected;
  • The grievance is partially upheld – i.e. the Principal/Manager agrees with some of the employee’s concerns, but not others.

In addition to the above, the Principal/Manager can recommend mediation.

The Principal/Manager must notify the employee in writing of his/her decision, within five working days of the final meeting under Stage 2. The letter should set out:

  • The outcome – i.e. if the grievance has been upheld, rejected or partially upheld.
  • The reasons for the decision.
  • Any facts or information which the Principal/Manager has relied upon in coming to a decision.
  • Any recommendations or agreed actions to resolve the issue
  • The employee’s right to appeal the decision, and the timescales involved in doing so.

Additionally, the Principal/Manager may choose to meet with the employee to explain the outcomes in person, before confirming the outcome in writing, as above.

Investigating officers will normally be drawn from the Academy or Corporatemanagement team. There will however be exceptional circumstances where it may be necessary to appoint an independent investigating officer. This may be where there are no members of the Academy management team who have not had prior involvement in the matter or where specialist knowledge is required. Human Resources can advise on how to conduct an investigation.

7.Stage 3: Right of Appeal

If an employee wishes to appeal the outcome of a Stage 2Grievance hearing he/she must do so within five workingdays of receiving, in writing, the outcomeletter following the grievance meeting.

To raise an appeal, the employee must write to the Principal/Manager (who led the Stage 2 grievance meeting) explaining why he/she is dissatisfied with the decisionand how they expect the issue to be resolved. The appeal letter will be passed to the Clerk to the Council. The Clerk will acknowledge the appeal request in writing within five working days, and will arrange for a meeting to take place within a further ten working days.

Where the grievance has been heard at Stage 2 by a Manager, the appeal will be to the Principal. Otherwise, the Appeal will be heard by a panel of 3Academy Council Membersand an HR Adviser if requested.One member will chair the panel. The Clerk to the Council will be present to take notes during the meeting.

The format of this meeting will be similar to the Stage 2meeting.

At the Appeal Meeting the Chair/Panel will seek to understand the employee’s reasons for raising an appeal, and his/her original concerns. The Panel will review the paperwork and will invite the Principal/Manager/investigating officerto the meeting, as a witness, to provide information. In some circumstances, the Chair/Panel may need to commission further investigations.

Following an adjournment to consider the information that they have heard, the Appeal Panel will make a decision. The rationale for their decision-making will be recorded in the notes. The possible outcomes are:

  • Decision from Stage 2 is fully upheld;
  • Decision from Stage 2is rejected; or
  • Decision from Stage 2 is partially upheld – i.e. the Panel agrees with some of the employee’s concerns, but not others.

The Chair of the Panel will notify the employee of the outcome of the Appeal within 5 working days. If the Panel is not able to reach a decision within this timeframe, the Chair will explain to the employee when he/she can expect a decision.

The Appeal Panel will provide written reasons for their decisions.

This is the end of the Grievance Procedure and there is no further right of appeal.

8.Special Circumstances

Grievances lodged during disciplinary action

If a formal grievance is received during disciplinary action, an assessment should be made as to whether the complaint will impact on the action being taken. Where it is considered the grievance will not have an impact or change the outcome, the disciplinary action should continue and the grievance managed concurrently in accordance with the Grievance Procedure.

If the grievance has highlighted valid points which need to be considered before further disciplinary action is taken, the grievance should be managed in accordance with the Grievance Procedure before taking any further disciplinary action.

The decision regarding whether the grievance does or does not impact on the action being taken rests solely with the Manager, unless the grievance is against him / her. If the grievance relates to the Manager, the next level of management will decide whether the grievance does or does not have an impact on the course of action being taken.