V0517

GRIEVANCE POLICY AND PROCEDURE

LEEDS BECKETT UNIVERSITY

www.leedsbeckett.ac.uk/staffsite

1

Policy and Procedure

1. Scope of the Procedure

1.1. Leeds Beckett University is committed to creating a positive working environment for

its staff. Most cases of potential grievance will be dealt with through the normal day

to day discourse between colleagues. However, it is recognised that from time to time

there may be occasions where an employee wishes to raise a concern or complaint

arising out of his/her employment. This document sets out the grievance procedure

(the Procedure) which an individual employee, or group of employees acting jointly on

the same grounds, should follow when wishing to seek redress of any grievance

directly related to their employment.

1.2. All parties acknowledge that they will use their best endeavours to ensure that the

Procedure is utilised in a responsible manner.

1.3. The Procedure applies to all staff of our University except senior post holders (as

defined in the Articles of Government), for whom separate arrangements apply. This

Procedure is not intended to deal with issues which are dealt with in separate

procedures including:

Disciplinary matters.

Disputes which are appropriately dealt with through the established employment

relations machinery.

Grade or remuneration where this is established through job evaluation.

Where the employee makes a protected disclosure (‘whistleblowing’) within the

meaning of the Public Interest Disclosure Act 1998.

Matters covered by statutory provision, e.g. Income Tax, National Insurance and

Superannuation Scheme rules.

Matters appropriately covered by other procedures e.g. Flexible Working requests,

regrading requests.

1.4. The Procedure should not be invoked to obstruct or interrupt the operation of the

Disciplinary Procedure or other appropriate procedures and does not apply to matters

which are normally subject to collective agreements or University policy. The only

exception is where the interpretation or the application of an agreement or policy is of

issue. In these circumstances the grievance will only consider the interpretation issue

and/or whether or not the appropriate policy had been followed. Any such matters

should be referred to Human Resources for advice.

1.5. Section 8 applies to grievances raised by former employees and situations where the

employment terminates whilst a grievance is underway.

2

2. General Principles

2.1. This Procedure applies to grievances of a collective nature as well as grievances

raised by individual employees.

2.2. The term ‘complainant’ is used to refer to an employee who has raised a grievance.

2.3. The ‘relevant person’ refers to a person who has the authority to address the grievance

at the appropriate stage. At the informal stage and the first formal stage, this will

normally be the employee’s supervisor or line manager.

2.4. Grievances should normally be dealt with within the management line. However, it is

recognised that on some occasions it may be appropriate in particular circumstances

to go outside the management line.

2.5. The complainant and any person against whom a grievance has been raised, has the

right at each formal stage of the procedure to be accompanied and represented by

either a full-time Trade Union officer, a Trade Union representative (who is an

employee of the University) or a fellow employee.

2.6. All matters of grievance must be raised promptly (normally within ten working days),

following the complainant becoming aware of the matter giving rise to the grievance.

In exceptional circumstances, and only where agreed by Human Resources,

grievances may be accepted outside of this timescale. The University reserves the

right to deny access to this procedure in the case of a grievance submitted after an

unreasonably long time period has elapsed.

2.7. Timescales have been fixed to ensure that grievances are dealt with as quickly as

possible. However, these may be extended if agreed by both parties, or in exceptional

circumstances, at the direction of Human Resources, following consultation with the

appropriate parties. Whilst no timescales have been specified for completing the

investigation into a grievance as this will vary considerably according to the complexity

of the case, our University recognises the need to seek to resolve grievances

expeditiously and will endeavour to minimise the time taken to complete investigations.

Likewise, the complainant must not unreasonably delay meetings.

2.8. It is not appropriate to call witnesses although they may be referred to in the written

grievance submission and at the meeting, or by the submission of witness statements.

Both the complainant and the person against whom the grievance has been raised

may name witnesses but it is for each individual witness named to determine whether

or not they give evidence. The person naming a witness should normally seek the

permission of the witness in advance and clearly this would be necessary to enable a

witness statement to be submitted. The ‘relevant person’ should ensure that any

witness is fully aware of the process including that any information provided may be

given to the other party and that confidentiality may not be maintained.

2.9. Intimidation or harassment of witnesses will not be tolerated. Any such behaviour may

lead to disciplinary action being taken.

3

2.10. The complainant and any person(s) named can also specify (and submit as

necessary) new information and/or evidence only where there is good reason why it

was not available at the previous stage. It is for the relevant person, advised by

Human Resources, to determine whether or not it should be admissible.

2.11. Members of staff from Human Resources will act in an advisory capacity to the

‘relevant person’ on the application of the procedure, and may take an active part in

the proceedings to assist in the establishment of the facts. Possible conflicts of

interest will be avoided.

2.12. The formal grievance file will be made available to the ‘relevant person’ at each stage.

2.13. An employee wishing to withdraw a formal grievance may do so in writing to the

‘relevant person’ at any point.

2.14. Where the complainant is absent from work through sickness and there is an apparent

connection between the reason for absence and the matter raised as a grievance, it

is permissible (and may be desirable) for the relevant person to request to meet with

the complainant in advance of their return to work. In that event, Human Resources

will liaise with the employee’s representative where applicable. The complainant may

be required to meet with our University’s Occupational Health Service where they

indicate that they are not able, as a result of their illness, to attend meetings. It may

also be appropriate to investigate the grievance on the basis of the written submission,

or for the complainant’s representative to present the grievance in their absence,

particularly where continued delay may have an impact on the health of any party to

the grievance.

2.15. Employees who raise a grievance or who provide evidence to inform the investigation

of a grievance will not be subject to any detriment as a consequence. However, where

an employee repeatedly submits grievances which are considered by our University

to be frivolous or vexatious, disciplinary action may be taken against him/her.

2.16. Our University reserves the right to combine two or more grievances raised by the

same employee into a single hearing so as to address the grievances in a time

effective manner. Likewise, in particular circumstances it may be appropriate to hear

matters of grievance within the disciplinary procedure where the matters are related.

It is Human Resources’ responsibility to determine if and when this is appropriate.

Where applicable, consultation will take place with the employee’s representative.

2.17. Our University will ensure that appropriate training is provided to managers who may be called upon to hear grievances.

2.18. Human Resources has responsibility, on behalf of our University, for the interpretation

and application of this procedure. Matters of uncertainty and/or issues of clarification will be determined by Human Resources. This will include determination of the ‘relevant person’ at each stage.

4

3. Informal Resolution

3.1. Both management and the complainant may seek to resolve difficulties through

informal discussion. The complainant is therefore encouraged to discuss matters in the first instance with an appropriate person. This could be a manager, Human Resources, a trade union representative, Equality and Diversity (including the mediation service). The appropriate person may seek advice from Human Resources as necessary.

3.2. At this informal stage the ‘appropriate person’ and the complainant should seek to agree the means by which the grievance may be resolved. Complainants are encouraged to consider utilising the in-house mediation service as one means of resolving the grievance informally. (See section 9.) Where the complaint relates to alleged harassment or bullying, complainants are encouraged to contact the Dignity and Respect Network for advice and guidance.

3.3. If the grievance is not resolved informally and promptly and the complainant wishes to pursue the matter further, the formal procedure described below must be followed.

3.4. In order to progress the grievance as quickly as possible, where the complainant wishes to pursue the matter formally, they must do so within 10 working days of the informal process coming to an end. For the avoidance of doubt, either the complainant or the appropriate person can determine when the informal process has come to an end, although they should attempt to do so jointly.

4. Formal Stage 1

(See also Section 6 Conduct of a Grievance) 4.1. The complainant should set out the substance of the grievance on the grievance form

which should be submitted, along with any relevant documentation, to the relevant Human Resources Business Partner. The detail should be sufficient to enable the person(s) named to respond and should include a clear description of the issue(s) as well as dates and/or times as appropriate.

4.2. Human Resources will notify the complainant of the details of the relevant person. The ‘relevant person’ or Human Resources may request further information from the complainant where they consider that the information initially supplied is insufficient.

4.3. Following receipt of the grievance form the ‘relevant person’ should convene a formal meeting with the complainant and their representative within ten working days. The purpose of the meeting and any associated investigation will be to consider the grievance.

4.4. Where the informal stage has not been followed and the ‘relevant person’ is not aware

of any good reason for this, he/she may contact the complainant to encourage him/her to utilise the informal stage to seek to resolve the grievance.

4.5 The ‘relevant person’ will formally respond in writing to the complainant and their

representative and the person(s) against whom the grievance has been made by completing the appropriate section of the grievance form, not later than five working days after the completion of the investigation.

5

5. Formal Stage 2 (Appeal)

(See also Section 6 Conduct of a Grievance) 5.1. If the complainant is dissatisfied with the outcome of Stage 1 they should send the

grievance form indicating clearly their reasons for taking the grievance to the appeal stage(i.e. the grounds for appeal), and, along with any new information and/or evidence, (in accordance with 2.10), to the relevant Human Resources Representative1. They must do so within five working days of the receipt of the formal notification of the Stage 1 outcome. The ‘relevant person’ at the previous stage and the person(s) against whom the grievance is raised will be informed that the grievance has been taken to the appeal stage.

5.2. Human Resources will notify the complainant and the person(s) named in the grievance, who has been appointed as the ‘relevant person’ to hear the Stage 2 appeal. Normally this person will be senior to the ‘relevant person’ who heard the grievance at Stage 1. The ‘relevant person’ appointed to hear the appeal or Human Resources may request further information from the complainant on the grounds for appeal where they consider this is required.

5.3. A meeting will be convened with the complainant not later than fifteen working days following receipt of the grievance form. The purpose of the meeting will be to hear the grounds for appeal and to review the outcome of the previous stage. Where applicable this will include consideration of any new information and/or evidence that for good reason was not submitted at the previous stage, in accordance with 2.10. The appeal does not constitute a re-investigation of the grievance. Any further investigation undertaken by the ‘relevant person’ following the meeting will be undertaken with the purpose of enabling an assessment of the grounds of appeal, including as necessary, a review of the outcome of Stage 1.

5.4. The ‘relevant person’ will formally respond in writing to the complainant and their representative and the person(s) against whom the grievance has been raised by completing the appropriate section of the grievance form not later than five working days after the completion of the investigation.

5.5. There are no further stages within this procedure. The Stage 2 appeal decision is final.

1 The Human Resources Representative who attended at Stage 1.

6

6. Conduct of a Grievance

(See also Section 2.) 6.1. On receipt of the formal grievance the ‘relevant person’ will convene a meeting with

the complainant and their representative in accordance with the timescales prescribed. This meeting will provide the complainant with an opportunity to discuss their grievance and comment on how they feel it could be resolved.

6.2. Any person(s) against whom a formal grievance has been raised will be sent a copy of the grievance form and all associated documents and will receive a copy of the response. The ‘relevant person’ will arrange to meet them separately to discuss the grievance. Thereafter, the ‘relevant person’ and the Human Resources representative will determine whether to meet with any other persons in order to complete the investigation of the grievance in accordance with 6.6 below.

6.3. The complainant and/or his/her representative or companion will present their case. The representative or companion should be allowed to address the hearing to put and sum up the complainant’s case, respond on behalf of the complainant to any views expressed at the meeting and confer with the complainant during the hearing. They do not however, have the right to answer questions on the complainant’s behalf, address the hearing if the complainant does not wish it or prevent the employer from explaining their case.

6.4. The ‘relevant person’ and the Human Resources representative may ask questions and seek clarification through the meeting.

6.5. At the conclusion of the meeting (or as soon as possible thereafter) the relevant person will inform the complainant of the likely completion date of the investigation. The timescales referred to at each stage relate to the actual completion date.

6.6. It is important to highlight that this is an investigative process. The meeting provides an opportunity for the complainant to set out the basis for their grievance and for the person hearing the grievance to question the complainant as appropriate. It is not intended that the complainant and any person(s) named in the grievance be present at the same meeting, except as an option at part of the informal process.

6.7. As part of the investigative process the ‘relevant person’ will determine who else to speak to in order to establish the facts. This may include named witnesses and others as referred to by the complainant and/or the person(s) against whom the grievance has been raised, as well as the ‘relevant person’ from the previous stage.

6.8. Where there is a difference of opinion or conflicting views are expressed, (either

between the complainant and/or person(s) named in the grievance, or others interviewed as part of the investigation) the ‘relevant person’ may decide that it is appropriate to hold further discussions with the complainant and/or other person(s). The purpose of such further discussions is to ensure all parties have the opportunity to respond and to assist in the resolution of the grievance. It is for the ‘relevant person(s)’ to determine the extent to which this is necessary.

6.9. The grievance file will pass from one stage to the next. The relevant person(s) will

review the file and progress further the investigation and/or clarification of issues as necessary, with a view to resolving the grievance.

7

7. Confidentiality and Records

7.1. These proceedings are confidential to those involved.

7.2. The grievance file will be the formal record. Once the grievance is complete, the file

will be passed to Human Resources in order that relevant documentation is maintained. This will be kept for as long as deemed necessary and in accordance with data protection guidance.

7.3. Human Resources will maintain a corporate secure record of all grievances raised to include:

The name of the complainant

The detail of the grievance (including dates)

The process (including dates)

The outcome

7.4. No record will be kept on the complainant’s personal file or the personal file of the person(s) against whom the grievance is raised as the record is kept as described at 7.2 and 7.3 above.

7.5 This information will be reviewed at an aggregate level in accordance with legislative

requirements including the Race Relations (Amendment) Act. This will consider for example the number of grievances by type, School/Service, age, disability, gender and ethnicity. The review outcomes will be made available to University management and the recognised Trade Unions annually to identify whether any matters of joint concern exist.

8. Post Termination

8.1. Where a former employee wishes to raise a grievance, the matter should be referred

to Human Resources immediately.

8.2. Where an employee wishes to raise matters related to the termination of their employment by our University, they must do so through the relevant appeal process and not the grievance procedure.

8.3 Where an employee leaves our University’s employment mid-grievance, the matter

should be referred to Human Resources immediately.

9. Mediation

9.1. The complainant and the person(s) against whom the grievance has been raised

should consider trying to resolve the grievance whenever possible through informal discussion. Either party may seek advice, from Human Resources and/or a trade union representative, to help them resolve the matter informally. Complainants are encouraged to use our University’s in house Mediation Service run by the Equality and Diversity team. The service is supported by a team of staff volunteers who have attended an accredited professional training course.

9.2. Mediation is an informal and structured process which brings people together in the

presence of an independent, impartial, skilled, third party to agree their own

8

constructive resolutions. The aim is for all parties to speak confidentially in a safe and secure environment and to encourage a mutual understanding in order to improve working relationships. Mediation is an independent, confidential, impartial and informal process.

9.3. Further information on the mediation scheme can be found at:

http://www.leedsbeckett.ac.uk/staffsite/services/human-resources/working-here/equality-and-diversity/mediation-service/ and on the Dignity and Respect Network at: http://www.leedsbeckett.ac.uk/staffsite/services/human-resources/working-here/equality-and-diversity/dignity-and-respect-network/

9.4. Mediation requires the agreement of both parties - the complainant and the person(s) who they are complaining about. It is perfectly acceptable for either party to determine that mediation is not appropriate.

Reviewed May 2009

9

Leeds Beckett University

Employee Grievance Procedure Form for use in the case of a formal grievance (If there is insufficient space in any section, please continue on a separate sheet). Sections 1 and 2 to be completed by the Complainant(s)

1. Complainant(s) Details Name(s) School/Service Location Job Title

2. Details of the Alleged Grievance Details of the alleged grievance (to include instances, names, relevant dates etc) Signature(s) of Complainant(s) Date Form submitted to Relevant Person (name) on (date)

10

Sections 3 and 4 below to be completed by the Relevant Person Formal Stage 1

3. Name of ‘Relevant Person’ Date of receipt of this form Formal meeting with complainant held on (date)

4. Response to the Complainant(s) (to be issued within five working days following completion of the investigation) Signature of ‘Relevant Person’ Date

11

Section 5 – 7 Formal Stage 2

Section 5 to be completed by the complainant(s) only in a case in which s/he are dissatisfied with the response from Formal Stage 1 as given by the ‘Relevant Person’ To be submitted to the Human Resources Representative within five working days of the receipt of the response from Formal Stage 1. 5. I/we wish to invoke Stage 2 of the Employee Grievance Procedure. Reason why. Submitted to: (name) Signature(s) of Complainant(s) On: (date)

Section 6 and 7 below to be completed by the relevant person hearing the grievance 6. Name of ‘Relevant Person’ Date of receipt of this form Formal meeting with Complainant(s) held on (date) 7. Response to the Complainant(s) (to be issued no later than five working days following

completion of the investigation) Signature of Relevant Person Date

THIS DECISION IS FINAL