Process for Specified Senior Roles in relation to the Grievance Procedure and Discipline Procedure

1Introduction

This Policy is part of the Employee RelationsFramework which is made up of a number of elements which together encompass all formal policy, procedure and statement documents, including associated forms, relating to employee relationsin Abertay University. The Grievance Procedure and Discipline Procedure stand alone as the formal processes for dealing with staff discipline and grievance issues that arise within the University. Such procedures endeavour to encompass all potential situations that may occur within a working environment. However, it is recognised that when matters relate to the most senior roles or those that are appointed by Court within an organisation additional issues often need to be taken into consideration given their role and responsibilities within the University.

If you would like this document in a different format (e.g. large print, braille) or need any assistance to access or understand the policy/procedure please contact your School/Service designated HR Partner.

2 Purpose and Scope

In order to deal with these issues if and when they should arise, and to help maintain fairness, equality and ensure no member of staff is disadvantaged, this supplementary process provides guidance for use in a situation where a discipline and/or grievance claim is raised against or by an individual employee holding the role of Principal, Vice Principal, or Secretary to Court (hereinafter referred to as the “role holders”), or Head of Human Resources.

Where a discipline and/or grievance claim is raised against or by the Head of Human Resources, the normal role undertaken by the Head of Human Resources, as outlined below, will be taken by the Secretary to Court in close liaison with the University solicitors. In the circumstances where such a claim is against the Secretary to Court then the role will be taken by the Vice Principal in close liaison with the University solicitors.

This policyapplies to all employees.

3. Process

The following points outline the required reporting mechanisms to be followed under circumstances where a complaint, grievance or allegation is made against, or implicates, one of the role holders or where a complaint, grievance or allegation is made by a role holder:

3.1 Any complaint, grievance or allegation received, either against or by a role holder, should in the first instance be raised directly with the Head of Human Resources in order to:

- Inform the Head of Human Resources of the situation

- Clarify the options available to address the matter

- Ensure awareness and understanding of the appropriate University procedures, supplying a copy of any necessary policy, procedure or other document(s).

- Clarify the procedure for submitting a formal grievance.

3.2 The Head of Human Resources will notify the Secretary to Court of any formal complaint; grievance or allegation received and provide a copy of any received and/or associated documents, including a copy of the appropriate University policy/procedure, along with an outline of available options for the Chair of Court to consider.

The Secretary to Court will subsequently meet with the Chair of Court to discuss the issue(s) raised and share the content of the documentation received in order to enable the Chair of Court, with advice, to identify the required process to effectively address the matter.

Note:

- If the received complaint, grievance or allegation is in relation to or by the Secretary to Court, then the Head of Human Resources will liaise directly with the Chair of Court.

- If the received complaint, grievance or allegation is in relation to or by the Chair of Court, then the Head of Human Resources will liaise directly with the Vice- Chair of Court.

3.3 The Secretary to Court and Head of Human Resources will then take direction from the Chair of Court in following the appropriate University procedure and provide any necessary support with such undertakings.

3.4 The University Court will appoint a Complaint Committee who will undertake necessary actions to deal with the raised matter, in accordance with the Grievance Procedure or Discipline Procedure, and will identify an investigating officer(s) where appropriate.

Any member of University Court with an actual/potential conflict of interest in the matter raised, or if the matter relates directly or indirectly to them, should not be involved with either the appointment of or participate as a member of a Complaint Committee.

A Complaint Committee will comprise of University Court members, taking into account such actual/potential conflicts of interest, as well as equality issues, availability, etc.

- Where deemed appropriate, a Complaint Committee may opt to utilise external administrative support in undertaking the University procedure.

- Where deemed appropriate, a Complaint Committee may utilise external support as and when necessary, e.g. legal advice, specialist consultant, etc.

3.5 A Complaint Committee will ensure that University Court is kept appropriately informed of circumstances and progress relating to the procedures being undertaken.

At appropriate stages of any procedure a Complaint Committee will report to the University Court its conclusions and decisions and/or, actions.

A Complaint Committee will consequently take any necessary actions, instructing the appropriate Officer of the University to implement any decisions made by the Complaint Committee.

3.6 Stated timescales within the University policies and procedures may be amended by a Complaint Committee where they deem it reasonable and appropriate to do so. In making any necessary adjustments to timetable a Complaint Committee will endeavour to ensure that procedures will be completed within a timely and appropriate period. It is important that Court members appointed to a Complaint Committee are those who are able to give their time and attention to it given the requirement that such matters are dealt with timeously.

3.7 It is acknowledged that in certain circumstances it may not be appropriate or reasonable for a role holder to be accompanied by an Abertay colleague at any meeting(s) associated with the formal procedure being undertaken (e.g. Discipline or Grievance). Given the role holder’s position within the University all Abertay colleagues will be within a subordinate role and therefore likely be deemed unsuitable.

In this regard, consideration will be given to a role holder being accompanied by an external person, who is not a legal representative.

4. Appeals

The University Court will appoint an Appeal Committee to hear an appeal submitted as a consequence of a Complaint Committee decision. The Appeal Committee membership will normally be identified in principle at the time of the establishment of a Complaint Committee in order to allow Appeal Committee members not to be involved.

Document Information
Author / Human Resources
Equality Impact Assessment / Human Resources
Approved by / University Court
Approval date(s) / 01 March 2012
Review by / 31 March 2016
Version / V20120214
Document Type / Process
Activity/Task / Process in relation to the other University procedure
Keywords / Grievance, Discipline
Document Location / This document is available via the HR Web/Intranet pages. It should be noted that any printed copies are uncontrolled and cannot be guaranteed to constitute the current version of the policy.
Confidentiality / Available via the HR Web/Intranet
Source / V:\HR\H2-Policy-Procedures
Version Control Table
Version No. / Purpose / Changes / Author / Date
I / HR

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