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Lancashire Teaching Hospitals 'cJ:kj NHS Foundation Trust

TRUST POLICY/PROCEDURE/STRATEGY AMENDMENT SHEET

DOCUMENT TITLE Individual and Collective Grievance and Disputes Policy and Procedure

NEW VERSION 3.1 REPLACES EXISTING VERSION 3 DATE OF ISSUE 16 August 2011 REVIEW INTERVAL 29 June 2014 AUTHOR Karen Giffard, Associate Director, Human Resources

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Date of 'Page No. Amendment details Amendment'

16.8.2011 4 Par 3 (3.3) included para relating to collective grievances and renumbered thereafter.

6 Para 6 (6.2.2) inclusion of HR Manager at formal grievance hearing

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Lancashire Teaching Hospitals , NHS Foundation Trust

THE TRUST SEEKS TO ENSURE THAT INDIVIDUAL AND COLLLECTIVE GRIEVANCES ARE RESOLVED AS QUICKLY AND AS CLOSE TO THE SOURCE AS

POSSIBLE SO THAT DISPUTES ARE AVOIDED AND THE BEST POSSIBLE SERVICE TO PATIENTS IS MAINTAINED

AUTHOR. APPROVED DATE AUTH POLICY REFERENCE BY NUMBER

,

NAME NAME

Karen Giffard Tony Curtis 29 June 2011 HRP-01 :

SIGNATURE SIGNATURE REVIEW DATE

ASSOCIATE HUMAN' RESOURCES DIRECTOR CHIEF EXECUTIVE 29 June 2014

TRUST POLICY

This Policy was produced in consultation with: Trust Joint Negotiating and Consultative I Sub Groups of the JNCC Committee

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CONTENTS:

PARAGRAPH CONTENT PAGE NO

1 Aim 3

2 qcope· 3-4

3 Policy Principles 4

4 Duties and Responsibilities 4

5 Status Quo & Industrial Action 4-5

6 Grievance Procedure 5-6

7 Procedure of Appeal 6-7

6 Conciliation and Arbitration 7

Appendix A Grievance Forms 8 - 11

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LANCASHIRE TEACHING HOSPITALS NHS FOUNDATION TRUST

INDIVIDUAL AND COLLECTIVE GRIEVANCE AND DISPUTES PROCEDURE

1.0 AIM

1.1 The Trust seeks to ensure that individual and collective grievances are resolved as quickly amj as close to the source as possible so that disputes are avoided and the best possible service to patients is maintained.

1.2 It is expected that most issues will be discussed and dealt with satisfactorily within the normal working relationships where people should feel that their problems and opinions can be discussed frankly and freely with their line manager.

1.3 This Policy sets out the agreed framework for dealing with grievances at informal and formal.stages and is intended to comply with employment legislation and the ACAS Code of Practice on Disciplinary and Grievance Procedures (2009) http://www.acas.org.uklCHttpHandler.ashx?id=1047.

1.4 In applying this policy and procedure, it is the policy of the Trust that employees will not be discriminated against on grounds of age, disability, gender, gender re-assignment, marital status, race (including colour, nationality and ethnic or national origins), religion, belief or sexual orientation.

1.5 In Accordance with the Disability Discrimination Act 1995, reasonable adjustments will be made to enable all employees to raise a grievan'ce under this procedure.

2.0 SCOPE

2.1 This procedure applies t6 all employees of the Trust except in the following circumstances:

• a declared grievance in connection with a matter for which the employee has been notified of the date of a disciplinary interview in line with the Trust's Disciplinary Procedure

• a grievance about a matter over which the ernployer has no control (eg statutory, mandatory or external requirement .. national terms & conditions of service)

• complaints of bullying and harassment will normally be investigated under the Trust Bullying and Harassment Policy and Procedure.

2.2 In applying this policy reference should be made to other polices and procedures including Harassment/Bullying Policy and Procedure,

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Whistleblowill9 Policy and Procedure, Disciplinary Policy and Procedure and Capability Policy and Procedure. Copies of all employment policies are available on the intranet.

2.3 If the complaint concerns a malpractice or intended malpractice the staff member may raise their concerns to any of those individuals or organisations listed in the Whistleblowing Policy (paragraph 7). http://online.lthtr.nhs.uklstart.asp

3.0 POLICY PRINCIPLES

3.1 All grievances will be handled con'sistently, confidentially, speedily and as close as possible to the point of origin.

3.2 At all formal stages of the procedure the employee(s) will have the right to be accompanied by a Trade Union Representative or a fellow employee.

3.3 In cases of collective grievance there may be up to three staff members at the hearing including the staff side representative.

3.4 No employee will suffer any detriment as a result of raising a grievance in good faith, regardless of the outcome.

4.0 DUTIES AND RESPONSIBILITIES

4! 1 Board of Directors

Th'e Board of Directors hold ultimate responsibility for the provision of this procedure; that it is applied fairly and equitably and that all relevant persons ,are aware of the procedure.

4.2 Human Resource Directorate

The HR Directorate will:

• oversee the introduction, timely operation and monitoring of this procedure and will report to the Trust Board of Directors on a regular basis to ensure the fair and consistent application of it throughout the Trust

• answer queries in relation to this procedure a~ a local level, as appropriate, and ensure that it is applied fairly and consistently throughout the Trust

• ensure the provision of training, guidance and support to line managers on the operation of the procedure

4.3 Managers

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Line managers are responsible for: • ensuring that this procedure is applied fairly and consistently within

their own area • ensuring that all relevant persons are aware of and understand the

procedure

5.0 STATUS QUO

5.1 The status quo yvill ordinarily be maintained whilst an issue is subject to the grievance procedure. 'Status quo' means the practice, previously agreed or established which was in operation prior to the grievance being raised.

5.2 In exceptional circumstances there may be occasions where the status quo cannot be maintained ego where clinical care or patient safety is at risk. In these circumstances the manager will liaise with the staff representative and the aggrieved staff/staff group will be advised in writing and a full explanation will be given.

6.0 THE GRIEVANCE PROCEDURE

6.1 Informal Stage

6.1.1 Complaints and grievances should be resolved at the informal stage wherever possible between employees and immediate supervisors / managers. Where the presenting issues are related to relationships at work b9th parties should be asked to consider mediation. Mediation is a voluntary process whereby a neutral third party assists the parties in reaching a satisfactory outcome; this will be arranged through the Associate Director of Human Resources.

6.1.2 Within 7 days of being notified, either verbally or in writing of a grievance the supervisor / manager will meet with the employee to clarify the exact nature of the problem and seek to resolve it after taking advice if necessary.

6.1.3 The manager will inform the employee(s) within 7 working days the outcome of the informal meeting.

6.1.4 If the matter is not resolved at this stage the employee(s) has the right to have the grievance heard through the formal stag~s.

6.1.5 If following the informal meeting the employee(s) remain aggrieved they must, within 14 days of receipt of the informal meeting outcome, complete Appendix A, Part 1 of the Grievance Form and submit it to the supervisor / manager who considered the matter at the informal stage. They

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will then complete Part 2 and will forward this to their department manager with a copy to the Associate Director of Human Resources.

6.2 Formal Stage

6.2.1 Upon receipt and within 7 days, the manager will acknowledge receipt of the grievance. The grievance must be heard within 21 days of receipt.

6.2.2 A formal meeting will be arranged by the HR department. The grievance will be heard by a senior manager together with an HR Manager not previously involved in the decision making at the informal stage.

6.2.3 The employee(s) may be represented by a recognised trade union representative or fellow employee.

6.2.4 The manager conSidering the grievance will complete Part 3 and will inform the employee(s) of the outcome of the hearing and will confirm this, in

.. writing, no more than 7 working days after the hearing has taken place.

6.2.5 If the employee(s) remains aggrieved with the decision they must appeal in writing to the Workforce Director within 14 calendar days of the decision being notified to them.

6.3 Appeal Stage

6,3.1 Upon receipt the Workforce Director will acknowledge the grievance and will arrange an appeal meeting within 28 days. This time scale may be extended by mutual agreement.

€.3.2 A panel of 2 members of the Trust Board, one of whom may be a non executive director and 1 staff side representative will hear the grievance appeal. The panel will be supported by a member of the HR department acting as secretary and adviso(to the panel who will have had no previous involvement in the grievance. The chair of the panel will have been agreed prior to the hearing taking place. '

6.3.3 Both the employee(s) and the manager will prepare a written statement of case and will submit 5 copies of these of these to the Workforce Director's office at least 10 working days prior to the hearing. The Workforce Director's office will arrange for an exchange of statements to take place.

6.3.4 Facilities will be afforded to the employee/employee representative to provide documentation.

7.0 PROCEDURE FOR AN APPEAL STAGE MEErlNG



7.1 The employee(s) or their representative shall state their case and call any witnesses.

7.2 The manager and the members of the panel shall be entitled to question any witness called.

7.3 The staff member / staff representative may re-examine his/her witness on any matters referred to in the cross examination.

7.4 The manager shall state their case and call any witnesses.

7.5 The staff member / staff representative and the panel shall be entitled to question any witnesses called.

7.6 The manager may re-examine his/her witness on any matters referred to in the cross examination.

7.7 The manager will summarise his/her case.

7.8 The staff member / staff representative shall be entitled to reply to the case.

7:9 The manager, the individual(s) concerned and his/her representative and all witnesses shall withdraw.

7.10 The panel and 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 even though only one is

, concerned with the point giving rise to doubt.

7.11 The panel may, at their discretion, adjourn an appeal in order that further evidence may be produced by another party.

7.12 The panel will, jf possible, notify the parties of the outcome of the deliberations following the adjournment. In any event and where this is not practicable, the outcome will be confirmed in writing within 3 working days of the hearing.

7.13 The HR advisor to the panel will complete Appendix A, part 4 for the formal grievance file.

8.0 CONCILIATION AND ARBITRATION

8.1 For collective grievances, either the full-time officer(s) or management may refer the dispute for conciliation to ACAS or where both parties agree, for arbitration to ACAS.



8.2 Nothing in the above policy affects an individual's statutory rights.

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Appendix A

Formal Stage To be completed by Employee(s) raising Part 1 Grievance I Dispute

Date of Formal S~age Submission

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Full Details of Grievance I ,Dispute

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Employee{s) Staff Rep I Name Trade Union

~t Employee{s)

Signature

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Formal Stage

Date of Informal Meeting with Employee(s)

Summary of informal decision rationale

Managers Name

Job Title

Managers Signature

Policy Title Grievance Policy and

Procedure

To be completed by Manager who made the informal decision

Version 3.1

Employee(s) Signature

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Part 2

Page No of

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Formal Stage To be completed by Manager hearing the Part 3 formal grievance

Date of Hearing

Grievance Yes I No Upheld

Summary of decision

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Managers Name Job Title Department

Managers Signature

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Appeal Stage To be completed by Secretary & HR Advisor Part 4 to Panel

Date of Appeal Hearina

• (Chair) Panel Members •

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Secretary & HR Advisor to . Panel

Grievance Yes I No Upheld

Date outcome communicated to employee(s)

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