POLICY FOR HANDLING INDIVIDUAL AND COLLECTIVE … · individual staff or groups of staff collectively may at times ... (please refer to HRP 12 ... All stages of the grievance procedure

POLICY FOR HANDLING INDIVIDUAL AND COLLECTIVE GRIEVANCES

HRP2

Applies to: All Staff

Committee for Approval Education and Workforce Committee

Date of Approval: 10 February 2012

Review Date: February 2013

Name of Lead Manager Jo Harvey

Version Version 8

Policy for Handling Individual & Collective Grievances – Version 8

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POLICY FOR HANDLING INDIVIDUAL AND COLLECTIVE GRIEVANCES AND DISPUTES HRP2

CONTENTS Paragraph Page

Number1 Introduction 3

2 Scope 3 3 Equality impact assessment 5 4 Good corporate citizen 5 5 Definitions 5 6 Duties (responsibilities) 5

7 Procedure 7.1 Stage 1 (Mediation) 7.2 Stage 2 7.3 Stage 3 7.4 Representation 7.5 Confidentiality

7 7 8 11 11 12

8 Training/Support 12

9 Process for monitoring effective implementation 13 10 Other relevant procedural documents 13 11 References (as evidence base) 13

APPENDICES Appendix 1 Registration of Grievance

Appendix 2 Scheme of Delegation

Appendix 3 Guidance Notes on writing formal complaints under the Grievance Policy

Appendix 4 Flowchart for dealing with Stage 2 Formal Grievances

Appendix 5 Stage 3 Appeal Procedure


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1 INTRODUCTION Wirral Community NHS Trust (WCT) aims to provide the highest standards of care to patients through putting people first and listening to others. We also aim to be passionate about health through caring and positively supporting each other, taking pride in the work we do and always acting in a professional manner. Every member of staff has a role to play in achieving and sustaining the high standards that we strive for. WCT recognises that however, in the course of their employment, individual staff or groups of staff collectively may at times have problems or concerns that they wish to raise and have addressed. Therefore, we understand that an agreed and effective procedure for the settling of disputes can contribute significantly to the creation and maintenance of a harmonious working environment. WCT expects its managers and staff to make every effort to discuss and resolve differences quickly, avoiding the need as far as possible to invoke the formal process. This procedure meets the requirements of the Employment Act 2008 and the ACAS Code of Practice on Disciplinary and Grievance Procedures (April 2009).

2 SCOPE This procedure applies to all employees and covers both individual and collective grievances.

The procedures laid down within this policy are intended to:

Enable individual or collective grievances to be resolved as promptly and as effectively as possible in order that the grievance does not impede on the organisation’s ability to provide services to patients

Enable managers to consider informal methods of resolution including independent mediation wherever possible

Issues that might give rise to a grievance might be (but are not limited to):

Interpretation of terms and conditions of employment Health & Safety Working arrangements Working environment A breach of statutory employment rights Any other issue affecting an individuals employment

This policy is not a platform for staff to express their discontent about something without justifiable reason. A grievance without clear reasons or facts will not be progressed until such time that we can establish reasons, this may involve going back to the individual for clarification on the issues being raised.


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Grievances, which upon investigation, are considered to be malicious or contrary to the organisation’s Standards of Conduct Disciplinary Policy HRP1 may be subject to further investigation.

The grievance procedure should not be used where other suitable policies apply such as:

Application of HRP1 Standards of Conduct and Disciplinary Policy (please refer to the Appeal procedure with the policy)

Appeals against Agenda for Change Terms and Conditions, including the Job Evaluation process (please refer to HRG 35)

Complaints about bullying and harassment, discrimination or victimisation (please refer to HRP4 Dignity at Work Policy)

Complaints involving a Public Interest Disclosure (please refer to HRP 12 Disclosure Policy formerly the Whistleblowing Policy)

An individual cannot raise a grievance regarding a decision made through a collective agreement within the recognition agreement.

Grievances must be raised within 3 months from the date that the matter occurred. Grievances raised later than 3 months will be disregarded, unless in exceptional circumstances. Consideration will be given to issues that are raised beyond this period, depending on the reasons for the delay. This decision will rest with the Director of HR & Corporate Affairs.

Where an individual is absent from work through sickness or annual leave and it is deemed that it is in the interests of both the individual(s) and the organisation, the process will continue. However, in some circumstances it may be considered, that the process would need to be delayed until the individual returns to work. This should be discussed with all parties involved, including any Staff Side representatives.

3 EQUALITY IMPACT ASSESSMENT As part of the development of this policy, its impact on equality has been reviewed in consultation with Staff Side representatives, as well as directly with staff. The purpose of the assessment was to identify, minimise and if possible, remove any disproportionate impact on employees on the grounds of race, sex, disability, age, sexual orientation or religious or other belief. The Equality Impact Assessment identified that this policy could be difficult to interpret by individuals with a Learning Disability. This has been mitigated through simplification of the procedure and can also be minimised through support from Line Managers and HR. 4 GOOD CORPORATE CITIZEN A just and healthy society with good governance requires organisations to have proper and transparent mechanisms for employees to raise complaints and to have


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them dealt with and addressed by their employer before they escalate. WCT requires individuals to consider mediation as a way of resolving disputes at the earliest opportunity and will encourage staff and managers to pursue this method prior to any formal process being undertaken. 5 DEFINITIONS 5.1 Grievance In this document the term “Grievance” means a source of dissatisfaction to an

employee or group of employees in connection with their employment with WCT.

5.2 Mediation ACAS describe Mediation as:

‘Mediation is a completely voluntary and confidential form of alternative dispute resolution. It involves an independent, impartial person helping two or more individuals or groups reach a solution that's acceptable to everyone. The mediator can talk to both sides separately or together. Mediators do not make judgments or determine outcomes - they ask questions that help to uncover underlying problems, assist the parties to understand the issues and help them to clarify the options for resolving their difference or dispute.’

5.3 Status Quo

In this document ‘Status Quo’ means the practice previously agreed or established which was in operation prior to a grievance being lodged. The status quo will apply unless and until the completed proceedings indicate otherwise and will be in accordance with the terms and conditions, policies and procedure of WCT unless it is operationally impossible not to make a change.

6 DUTIES (RESPONSIBILITIES) 6.1 Chief Executive

The Chief Executive has overarching responsibility for ensuring the content of this policy is applied consistently and fairly across WCT.

6.2 Director of HR & Corporate Affairs

The Director of HR & Corporate Affairs is the named officer responsible for ensuing the content of this policy is applied fairly and consistently across WCT.


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6.3 HR Department

The HR department is responsible for providing accurate and timely advice to managers and employees to ensure the policy is appropriately utilised across WCT.

They will also provide training to both managers and Staff Side representatives to equip them to deal with these issues.

In addition the HR department is responsible for fielding HR representatives to support investigating officers and managers at the appropriate stages of this policy and for monitoring the number of grievances raised by employees, investigations undertaken and any further action as appropriate which relates to the application of this policy.

6.4 Executive Directors

Executive Directors will be responsible for overseeing the dissemination of implementation of this policy across all services and also for ensuring that an appropriate investigating officer is appointed to investigations, taking into consideration their ability to conduct the investigation in relation to their skills and capacity.

6.5 Heads of Service

Heads of Service are responsible for overseeing the dissemination of implementation of this policy across their service and also for liaising with the Executive Director and a representative from HR in naming an investigating officer at Stage 2 of the formal process as outlined within this document. They are also responsible for raising concerns where there are difficulties in completing the investigation on time in accordance with the timescales set within this policy.

6.6 Line Manager

Supervisors, team leaders and line managers should be fully conversant with the Grievance Procedure and its application.

Line managers and team leaders are also responsible for ensuring that this policy is fairly and consistently applied within their team, department or service and for ensuring that their staff members understand how the policy can be used.

Managers are required to make every effort to deal with matters quickly and consider all informal methods of resolution i.e. through mediation, and only if these fail to resolve the situation, should the formal stages of this process be used.


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In applying this policy Managers must take into account the organisation’s commitment to equality and diversity and ensure that there is no unlawful discrimination in respect of age, disability, race, nationality, ethnic origin, gender, religion, belief, sexual orientation or trade union membership.

6.7 Employees

All employees are responsible for being aware of this policy and understanding when and how it may be applied.

Employees should make every effort to resolve matters as quickly as possible and consider all informal methods of resolution i.e. mediation. Only if these fail to resolve the situation, should the formal stages of this process be used.

Employees should make every effort to attend any meetings as part of the process in order to resolve matters as quickly as possible.

7 PROCEDURE All stages of the grievance procedure including informal stage meetings must be conducted in a manner that enables both the line manager and employee(s) to explain themselves in a professional and transparent way. A HR representative will be available for advice at all stages of the procedure and must be involved from Stage 2 onwards. Upon request, the status quo will apply until the completed proceedings indicate otherwise and will be in accordance with the terms and conditions of employment, policies and procedures of WCT unless to do so would adversely affect the operations of the organisation.

7.1 Stage One

The majority of grievances should be satisfactorily dealt with at this stage.

If an employee or group of employees feel that they have a grievance they

should raise the matter directly with their Line Manager, or they may ask their Staff Side representative to raise the matter on their behalf. If the grievance is resolved at this Stage, the matter ends.

The Head of Service should be ‘informed’ of the issues that have been raised at this stage by the Line Manager/Team Leader/Supervisor dealing with the employee/s concerns. Managers should meet with the employee to discuss their concerns and take all reasonable steps to try and resolve the issues that have been raised. Every effort should be made in order to resolve issues at an early stage in order to avoid the issues becoming formalised.


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Where the grievance cannot be resolved informally by the Line Manager, it is expected that the staff member bringing the grievance should commit to resolution through independent mediation within a reasonable timescale.

7.1.1 Mediation It is anticipated that with good-will and a genuine desire to resolve grievances at

the lowest level, acceptable solutions will be reached. WCT has trained internal ACAS Accredited mediators in order to assist the facilitation and resolution of issues/concerns. ACAS encourage individuals to resolve issues through mediation because: ‘Mediation helps people who don’t see eye to eye to sort out their differences as quickly as possible and so minimise distress and cost.’ and ‘Although having suitable policies and procedures to resolve workplace problems is essential, in many cases a positive result can be achieved through early and informal intervention.’ The mediation process is entirely confidential between the parties involved and the mediator. Employees entering mediation must always adhere to the code of confidentiality in order for the process to be successful. Any agreement comes from those in dispute, not from the mediator. The mediator is not there to tell those involved in the mediation what they should do. Mediation may not be suitable if:

Used as a first resort – because people should be encouraged to speak to each other and talk to their Manager before they seek a solution via mediation

It is used by a Manager to avoid managerial responsibilities A decision about a right or wrong is needed e.g. a breach of

confidentiality The individual has an ongoing discrimination, harassment or bullying

issue Where one individual is completely inflexible towards using mediation

and will only raise unrealistic expectations of a positive outcome If either party feels the involvement of a mediator would assist them they should, in the first instance, contact their Line Manager. However, it is recognised that sometimes the issues are related to the Line Manager and in this situation employees can either contact their immediate superior, the Mediation Scheme Co-ordinator in HR or their HR Business Partner.


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If the grievance is not satisfactorily resolved the Line Manager will inform the employee/s, that they have the right to pursue Stage Two of the procedure. The Line Manager will also inform the Head of Service and a HR representative of the outcome and whether the grievance may proceed to the next stage.

7.2 Stage Two

Grievances must be registered by using the Registration of Stage 2 Grievance Form (Appendix 1) and hand it to the Head of Service or other appropriate Manager as outlined in the Scheme of Delegation (Appendix 2). On receipt of the formal grievance, the Head of Service or appropriate Manager should acknowledge the grievance in accordance with the timescale set out in Table 1. After acknowledging the grievance the Head of Service or appropriate Manager should consider whether a formal investigation is required. If a formal investigation is required then the process outlined in this section and in Table 1 should be followed. However, if a formal investigation is not required then they must ensure that a meeting is held with the individual before a decision is made on the outcome.

Table 1

Action Timescale Responsibility Acknowledgment Letter Sent to Employee

5 working days of receipt of the Registration of Grievance Form

Head of Service*

Decision to be made on whether a formal investigation is needed


Head of Service*

If an investigation is not required then a meeting should be held with the individual to discuss the issues being raised


Designated Manager*

Outcome Letter Issued Within 5 working days of that date of the meeting

Designated Manager*

Where an investigation is required the following timescales should be adhered to: Action Timescale Responsibility Investigating Officer to be Appointed

5 working days of the Acknowledgement Letter being issued

Head of Service*/Executive Director

Meeting date to be issued by Investigating Officer

5 working days of being appointed

Investigating Officer

Completed Report to be issued for consideration

12 weeks from date of being appointed

Investigating Officer


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Meeting to be held with individual raising the grievance to inform them of the outcome

10 working days from the date of the report being submitted

Designated Manager*

Outcome Letter Issued Within 5 working days of report being considered

Designated Manager*

Grievances will be handled within the agreed timescales, as set out above. These are designed to allow grievances to be dealt with in a reasonable time period, without unreasonable delay, to enable good working relationships to be maintained. Under normal circumstances, the time limits should be adhered to by both employees and managers, unless they have been extended by mutual agreement, especially where this could facilitate an early resolution of the grievance. It is the Investigating Officer’s responsibility to ensure that all parties are kept informed throughout the process particularly if any delays are incurred.

Although time limits are specified within this policy, this does not prevent managers/staff mutually agreeing a longer time period.

Once the Head of Service/Executive Director allocates an Investigating Officer to investigate the allegation(s), the Investigating Officer will produce a report from the case in order for the Head of Service to consider the grievance. At this stage an HR Representative will be involved in an advisory capacity to the relevant Investigating Officer. There may be occasions when it is appropriate for the manager to nominate a suitable person (another manager of their level or level immediately below) to represent him or her at a grievance. This would be, for example, on occasions where a manager is on annual leave or long term sick and this will unduly delay the process. Employees lodging a collective grievance should select one or two staff members to represent the group at meetings. Formal Meetings will be recorded using a tape machine to ensure there is an accurate record taken. However, if the individual employee objects to the use of the tape machine, or the tape machine malfunctions, then a brief summary of the discussions will be taken down in writing. The Head of Service or designated representative will be assisted by a representative from the HR Department. This person can advise on process and operate the tape machine during interview (or take notes in the event of the failure of the tape machine or if the employee objects to the meeting being tape recorded). Copies of the transcript from the recording of the meeting should be given to the employee(s).


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In certain exceptional circumstances the Investigating Officer/Manager may withhold some information pertaining to the investigation i.e. the identity of witnesses/s or information relating to a disciplinary. The Head of Service supported by a representative from HR should consider the evidence collected from the grievance investigation to see if it is felt there is a case to answer.

The outcome of the grievance should be communicated to the employee/s in writing in accordance with the time limits in Table 1. They should also advise the employee/s of their right to appeal the decision. Where the Head of Service or appropriate Manager decides that there is a case to answer and there has been a breach relating to HRP1 Standards of Conduct Disciplinary Policy, then the Head of Service or appropriate Manager will be responsible for informing the employee/s involved. The Head of Service will then be responsible for the process under the appropriate policy. Where an employee raises a grievance during a disciplinary process the process may be temporarily suspended in order to deal with the grievance. Where the grievance and disciplinary cases are related it may be appropriate to deal with both issues concurrently but will run separately. It is recognised that in resolving grievances, it may be necessary for either management or staff side to seek expert advice externally and provision will be made for this as appropriate. When a grievance is resolved which may require some form of management action, the person hearing the grievance must ensure that any such action is implemented by the named responsible person as agreed. Employees have the right to appeal the decision at the end of this Stage in accordance with Stage 3 of this procedure.

7.3 Stage Three

Employees should submit their appeal, in writing, within 20 working days, of receipt of the Stage 2 outcome letter, to the appropriate Director in accordance with the Scheme of Delegation (Appendix 2). The appeal should clearly state the reasons and facts for appealing. An appeal will not be progressed until the reasons for appealing are clear. As part of this policy there are further guidance notes in Appendix 3. A request for an Appeal should be written in accordance with these guidance notes so that consideration can be given by the Director as to the appropriateness of the appeal and so that Management can prepare their case.


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The appropriate Director will acknowledge the appeal within 5 working days of receipt. On receipt of a request for an Appeal, if the employee indicates that they wish their Appeal to be considered by a Non-Executive Director (NED) on the Panel, then the request will be referred to the Chairman for consideration. The Chairman will consider the reasons for the request, but their decision regarding NED involvement will be final. The appeal will be heard as soon as is practicable, without unreasonable delay and the time and date of the hearing will be confirmed in writing, in advance of the meeting. Evidence and statements of case should be provided by both management side and the employee(s) raising the appeal, which must arrive at least 10 working days prior to the date set for the hearing of the appeal.

When both statements of case have been received, the HR support to the panel will provide a copy of the statements of case to both parties (Management/employee). The decision made by the appropriate Director (or other Designated officer as outlined in Appendix 2) will be final and there will be no further right to an additional appeal after this stage.

7.4 Representation

All employees who raise a grievance, or have a grievance alleged against them, at Stages 2 and 3 of this policy, have a right to either be represented by a recognised Staff Side representative or be accompanied by a work based colleague of their choice (who is not acting in a professional capacity, or has a conflict of interest). Only one representative will be permitted for individual grievances. The employee may allow their representative (but not their work based colleague) to speak, summarise and ask questions on their behalf. However, the Chair of a panel hearing under Stage 3 retains the right to specify that the employee rather than the representative answer questions where there is cause to do so. The representative should be given a reasonable amount of time to confer privately with the employee. If being accompanied by a work based colleague, employees may adjourn to confer with their colleague but must speak, summarise and ask questions themselves.

If the chosen representative cannot attend on a proposed date, another date will be suggested that must suit all involved. The new date should not be more than 5 days after the date originally proposed by the employer unless mutually agreed by all parties. Where the employee is accompanied by a work based colleague it is not expected that there would be a need to propose a new date as detailed above, unless there are exceptional circumstances and it is mutually agreed by all parties.


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Accredited Staff Side representatives who raise a grievance may be accompanied by a Full Time Officer of the Trade Union at Stages 2 and 3 of this policy but time scales should be adhered to.

Individuals who are providing a witness statement (interview) in relation to an investigation will be entitled to be accompanied by a work-based colleague only. It is the responsibility of the employee to make arrangements for representation and for staff side representatives to arrange for alternative representatives to attend if they are unavailable. It is not the responsibility of Staff Side to raise a formal grievance on behalf of a member of staff. Employees lodging a collective grievance should select one or two staff members to represent the group at meetings.

7.5 Confidentiality

It is essential that all parties to a grievance ensure that privacy and strict confidentiality is maintained at all times. Neither party to a grievance should initiate any reference to or contact with the press or other media whilst this procedure is being operated without the prior knowledge and permission of the other party and Board of Directors. Details of individual workers or patients will not in any circumstances be released to the media. No information relating to any action taken as part of this procedure should be divulged to other employees who are not involved. Breach of confidentiality has serious implications and will result in the application of WCT’s Standards of Conduct & Disciplinary Policy (HRP1) for those involved.

8 TRAINING/SUPPORT WCT will provide training to both managers and Staff Side representatives to equip them to deal with these issues. The training will be incorporated into the Essential Learning Programme for Managers. It is recognised that all employees who are involved in matters relating to grievances may require additional support, the organisation provides confidential employee counselling services for this, details of which can be accessed through the intranet. 9 PROCESS FOR MONITORING EFFECTIVE IMPLEMENTATION The effective implementation of procedural documents should be monitored as appropriate. The effective implementation of this policy will be monitored by the Director of HR & Corporate Affairs and the HR Policy Review Group who have delegated responsibility from the Education and Workforce Committee.


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This policy will be reviewed on a 12 monthly basis by the Policy Review Group through feedback from the Employee Relations Team, Managers staff and Staff Side. 10 OTHER RELEVANT PROCEDURAL DOCUMENTS HRP1 Standards of Conduct & Disciplinary Policy HRP4 Dignity at Work Policy HRP36 Equality and Diversity Policy HRP5 Managing Attendance Policy 11 REFERENCES (AS EVIDENCE BASE) ACAS Code of Practice on Disciplinary and Grievance Procedures (April 2009) Avoiding and Resolving Discipline & Grievance Issues at Work BERR CIPD (Sept 2009) and Disciplinary & Grievances at Work – The ACAS Guide http://www.acas.org.uk/CHttpHandler.ashx?id=1043 and ACAS Code of Practice 1 – Discipline and Grievance at Work http://www.acas.org.uk/media/pdf/h/m/Acas_Code_of_Practice_1_on_disciplinary_and_grievance_procedures.pdf and Managing Conflict at Work - http://www.acas.org.uk/CHttpHandler.ashx?id=960&p=0 www.businesslink.gov.uk Department of Health http://www.dh.gov.uk/en/index.htm NHS Employers http://www.nhsemployers.org/Pages/home.aspx

http://www.acas.org.uk/CHttpHandler.ashx?id=1043

http://www.acas.org.uk/media/pdf/h/m/Acas_Code_of_Practice_1_on_disciplinary_and_grievance_procedures.pdf

http://www.acas.org.uk/media/pdf/h/m/Acas_Code_of_Practice_1_on_disciplinary_and_grievance_procedures.pdf

http://www.acas.org.uk/CHttpHandler.ashx?id=960&p=0

http://www.dh.gov.uk/en/index.htm

http://www.nhsemployers.org/Pages/home.aspx


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APPENDIX 1

REGISTRATION OF STAGE 2 FORMAL GRIEVANCE FORM

SECTION A (to be completed by employee) Name(s): .............................................................. ……………………………………….. Job Title: ............................................................ . Department: . ..................................................... Base: ............................................ Line Manager: ……………………………………………………………………………… Address for correspondence: ....................................................................................................................................... ....................................................................................................................................... ....................................................................................................................................... ....................................................................................................................................... Contact Number (Home/Work): …………………………………………………………… Email Address: ……………………………………………………………………………… To (Head of Service): .................................................................................................. Date:………………………………………………………………………………………….. Please indicate what actions your Manager has already taken in order to resolve the matter informally: ………………………………………………………………………………………………… ………………………………………………………………………………………………… ………………………………………………………………………………………………… …………………………………………………………………………………………………… Were you asked to take part in mediation as a way of resolving this matter prior to submitting this level of grievance Yes/No


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Did you accept this offer Yes/No If yes, what date did mediation commence: ………………………………………………… Please give brief details of the mediation and why you feel it was not successful as a method of resolution? ………………………………………………………………………………………………… ………………………………………………………………………………………………… ………………………………………………………………………………………………… ………………………………………………………………………………………………… If no, please state your reasons why: ……………………………………………………… …………………………………………………………………………………………………… …………………………………………………………………………………………………… I / We wish to register a Stage 2 Formal Grievance against (names): ....................................................................................................................................... For the following reasons: ............................................................................................ ....................................................................................................................................... ....................................................................................................................................... ....................................................................................................................................... ....................................................................................................................................... ....................................................................................................................................... ....................................................................................................................................... Please state how you seek resolution of the grievance: ....................................................................................................................................... ....................................................................................................................................... ....................................................................................................................................... ....................................................................................................................................... .......................................................................................................................................

I/We will be represented by (name/job title): ................................................................ Please indicate whether they are a Staff Side representative or workplace colleague: ………………………………........................................................................................... If applicable, which Trade Union: …………………………………………………………… Contact details (tel/email/base) : …………………………………………………………… Signature(s) of all employees raising the grievance: . .................................................. ....................................................................................................................................... ....................................................................................................................................... ....................................................................................................................................... Date: .............................................................................................................................. SECTION B (to be completed by Manager) Date received by Manager: . ......................................................................................... Actions taken in order to try and resolve the grievance at Stage 1: ....................................................................................................................................... ....................................................................................................................................... ....................................................................................................................................... ....................................................................................................................................... Grievance resolved: YES/NO If no, what date did you refer to the next stage of procedure: ……………………………

Manager's signature: ………………………..…………. Date: ……………………


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SECTION C: Equal Opportunities Monitoring - Person who raises the allegations We require this information for monitoring under the Race Relations Act and other legislation and directives covering equal opportunities and diversity. The Trust is committed to equal opportunities and fully supports this monitoring. As a Public Authority it is our duty under the Race Relations Act.

Ethnicity Codes

White Mixed Asian or Asian British

Black or Black British

White British

A White & black Caribbean

D Indian H

Caribbean

M

White Irish B White & Black African

E

Pakistani J

African N

Any other White

C White & Asian F Bangladeshi

K

Any other Black background

P

Any other mixed background

G Any other Asian background

L

Other ethnic groups

Not stated

Chinese R Not stated Z Any other ethnic group

S

Disability codes

Age Category Gender code

Banding

No disabilities

N

Under 20 years

1 Male M

1 7

Dyslexic D 20-24 years 2 Female F 2 8a Blind/sight impaired

S

25-44 years 3 3 8b

Deaf/ hearing impaired

H 45+ years 4 4 8c

Mobility difficulties

M

5 8d

Other 6 9 This form should be completed and returned in a sealed envelope to the Investigating Officer. The Investigating Officer is then required to pass the sealed envelope to the HR Business Partner.


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APPENDIX 2

Grievance Policy Scheme of Delegation

Category of Staff

Stage 1 Stage 2

Formal Grievance

Stage 3

Appeal

Chief Executive (CEO)

Chairman Designated Non-Executive Director

Two Non Executive Directors*

Executive Directors

Chief Executive Chairman Chairman plus one Non Executive Director

Other staff directly responsible to the Chief Executive

Chief Executive Chairman Chairman plus one Non Executive Director

Medical & Dental Staff (i.e. Doctors & Dentists)

Head of Service or designated Medical/Executive Director

Director/Medical Director

Chief Executive

All other staff Immediate Line Manager

Head of Service or designated representative

Director or other Director/Head of Service who has not previously been involved in the case (3) (4)

* In some circumstances, where it is deemed appropriate, a Non Executive

Director from another NHS organisation will act as one of the panel members Notes 1. Where, for any reason the Chairman is not available, the role of the Chairman

may be undertaken by a designated Non Executive Director. 2. In all instances involving the Chief Executive or Executive Directors, discussion

will first take place with the Director of HR & Corporate Affairs. 3. On receipt of a request for an Appeal, if the employee indicates that they wish

their Appeal to be considered by a Non-Executive Director on the Panel, then the request will be referred to the Chairman for consideration. The Chairman will consider the reasons for the request, but their decision will be final.

4. An Appeal panel will consist of at least one Director (Chair) or designated

Director/Head of Service and a Representative from HR.


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APPENDIX 3

Guidance on writing formal grievances/complaints and appeals under the

Policy for Handling Individual and Collective Grievances and Disputes

1 Type or write clearly in black ink - your document will need to be photocopied and read by other people. The information will only be shared with individuals who need to know.

2 Check which policy you would like your complaint to be considered i.e. the

Policy for Handling Individual and Collective Grievances and Disputes HRP2 or Bullying & Harassment Policy HRP4.

3 Discuss your document with a representative of a Staff Side representative if

you are a member or a colleague, however, please remember that confidentiality must be maintained, therefore if you do this discuss this with a colleague, they should be a work-based colleague who will be your support throughout the process.

4 Keep your comments focussed on the specific issues you wish to raise - if you

raise too many issues, you may hide the crucial ones. 5 Don’t use your submission as a chance to complain about other issues which

are less important. 6 If there is one key issue, identify it as such. 7 Try and keep the document to one or two sides of A4. 8 Don’t exaggerate the issues - it makes for a much more effective process if

the issues are outlined in a clear and straightforward manner. 9 Describe what happened and provide specific details i.e. dates, names and

circumstances. 10 Explain steps, if any, you have taken to address the issues informally. 11 Outline what outcome you would like to see - but remember to be reasonable

and realistic in your expectations, even if you don’t think that the other parties have been.

12 Remember to sign and date the form before handing it to your Line Manager.

APPENDIX 4 FLOWCHART FOR DEALING WITH STAGE 2 FORMAL GRIEVANCES

Formal Grievance received by HOS

Acknowledgement letter sent to individual by HOS within 5 working days

No

HOS to consider whether a formal investigation is required within 5 working days

Yes

HOS to liaise with Executive Director to appoint an investigating officer with 5

working days of the acknowledgment letter being issued

HOS to meet with individual to discuss the grievance and make a decision within 10 working days of

receipt of the Registration of Grievance Form

Investigating Officer is appointed and sets up a meeting with the individual within 5

working days of being appointed

HOS to write to individual to confirm outcome of the

grievance within 5 working days from the date of the

meeting

Completed investigation report to be submitted to the HOS within 12 weeks of being appointed

Meeting to be held with individual raising the grievance to inform them of the outcome within

10 working days of receipt of the report

Yes

Any learning outcomes should be identified and communicated to the relevant parties

NOCase to answer?

Outcome letter to be sent to individual within 5 working days of the report being submitted

NOHas there been a breach in the disciplinary procedures?

Yes

Refer to HRP1 Standards of Conduct and Disciplinary Policy


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APPENDIX 5

STAGE 3 GRIEVANCE APPEAL PROCEDURE

At the Hearing of an individual grievance before the Appeal Panel, the following procedure shall be observed: (a) The employee or his/her representative shall put his/her case in the presence of

management’s representative and may call witnesses. (b) Management’s representative shall have the opportunity to ask questions of the

individual, his/her representative or his/her witnesses. (c) The members of the panel shall have the opportunity to ask questions of the

employee, his/her representative or his/her witnesses. (d) The employee or his/her representative shall have the opportunity to re-

examine his/her witnesses on any matters referred to in their examination by members of the Panel or management’s representative.

(e) Management’s representative shall state management’s case in the presence of

the employee and his/her representative. (f) The employee or his/her representative shall have the opportunity to ask

questions of management’s representative and witnesses. (g) The members of the Panel shall have the opportunity to ask questions of

management’s representative and witnesses. (h) Management’s representative shall have the opportunity to re-examine his/her

witnesses on any matter referred to in their examination by members of the grievance panel, the employee or his/her representative.

(i) Management’s representative and the employee or his/her representative shall

have the opportunity to sum up, if they so wish. The employee or his/her representative shall have the right to speak last. In their summing up, neither party may introduce any new matter/evidence.

(j) Nothing in the foregoing procedure shall prevent the members of the Panel from

inviting either party to clarify any statement he/she may have made; or from asking him/her such questions as may be necessary to ascertain whether or not he/she proposes to call any evidence in respect of any part of his/her statement or, alternatively, whether he/she is in fact claiming that the matters are within his/her own knowledge, in which case he/she will be subject to examination as a witness under (b) or (f).

(k) The Panel may, at their discretion, adjourn the Hearing.


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(l) Management’s representative, the employee and his/her representative and

witnesses, shall withdraw. (m) The Panel, with the officer appointed as Secretary to the Panel, shall deliberate

in private, only recalling both parties to clear points of uncertainty on evidence already given. If recall is necessary, both parties shall return notwithstanding only one is concerned with the point giving rise to doubt.

(n) Wherever possible, the Panel will announce their decision to both parties at the

Hearing. The outcome will be confirmed to the employee and/or representative in writing within 5 working days of the date of the Hearing.

Documents

POLICY FOR HANDLING INDIVIDUAL AND COLLECTIVE … · individual staff or groups of staff collectively may at times ... (please refer to HRP 12 ... All stages of the grievance procedure