Grievance Policy and Procedure

 This policy and procedure has effect from 1^st October 2015.  This replaces all other previous relevant policies, whether written or not. 

1.            Purpose

A person employed by the University may, at some point, have concerns regarding their work, working environment or relationships with colleagues that they (‘the complainant’) may wish to raise, have addressed and as a preference, have resolved. Our approach to handling such matters is to encourage both staff (complainant and respondent) and line managers to attempt to resolve issues informally in the first instance through informal discussions within the service or school, whilst observing the University’s Values and Behaviours.

This formal procedure exists to respond to circumstances which cannot be resolved informally and it is the University’s aim to ensure that staff are given an opportunity to raise concerns relating to their employment, using a process which resolves issues quickly and fairly. Again, the line manager carries key responsibility to promote positive working relations and resolve workplace issues.

Complaints may occur at all levels and this policy, modelled on the ACAS Code of Practice on Disciplinary and Grievance Procedures, applies equally to individual and collective complaints.

2.            Application of Policy

This Policy applies to all employees of Edinburgh Napier University, collectively referred to in this Policy as ‘staff’ or ‘staff members’.

This policy extends to all functions and places that are work related, is not limited to specific University campuses or work sites. Further, the policy is not limited to Edinburgh Napier University’s spread of ordinary hours.

3.            Variations to this Policy

 Edinburgh Napier University reserves the right to terminate, replace, or vary this policy from time to time.

4.            Guiding Principles

 The following principles underpin this policy:

• Staff complaints are dealt with promptly, in-line with fairness and equity.
• Line Managers operate an open policy of communication with staff, where problems and concerns can be settled informally, as a matter of course.
• The Line Manager carries the central responsibility for leading the process from grievance to resolution in a timely manner (unless the compliant is regarding the line manager, then it must be managed by the next reporting line). The line manager must prioritise the resolution of the grievance.
• When staff involved report to different Line Managers, both Line Managers are equally responsible for managing the process to resolution.
• Staff members can seek assistance from their Trade Union representative during the process.
• In most cases, issues are settled without recourse to a formal process, which should be regarded as a ‘last resort’.
• The process is simple, open, transparent, and clearly defines the rules and procedures for both staff and managers handling issues.
• All issues are thoroughly and fairly considered.
• Staff members can only raise grievances on their own behalf, they cannot raise a grievance on behalf of other staff member(s).
• Due confidentiality is observed at all times (however, staff should be aware that it might be necessary to disclose certain information so that the University can fully investigate the circumstances of the complaint).
• No parties involved in the process can attend a formal or informal meeting with a recording device.
• Issues should be raised as soon as possible after the issue having arisen / taken place.
• An informal or formal complaint may be withdrawn in writing, at any stage of the process and the complainant can choose to resolve the matter informally.
• When the grievance involves multiple parties (collective grievance), the resolution will be managed collectively.
• If there is a justifiable objection to the nominated investigating manager, chair or panel member, this should be referred to the Head of HR Operations and if deemed appropriate a new manager will be appointed to support the process.
• If the complainant raises the need to maintain status quo ante, the investigating manager will be responsible for ensuring that the hearing of the grievance is undertaken without delay and as a matter of priority. If status quo ante cannot be upheld as a result of business requirements, a reason for the business decision will be provided in writing to the complainant within two working days. If the complainant is not satisfied with the business reasons provided, they can appeal in writing to one of the Assistant Principals within two working days.
• This process should not be used as an opportunity to frustrate against reasonable and genuine management actions; managers have a right to make reasonable management requests. If a complaint raised is subsequently found to be malicious or vexatious, this may result in disciplinary action, see section 6.5.
• Where a staff member makes a complaint in which they name a colleague (‘respondent’), the full details of the nature of their involvement must be included at the outset. The respondent will equally be informed of the allegations.

Where a member of staff makes a complaint under this policy, during a separate disciplinary process, the complaint and the disciplinary matter will be dealt with concurrently. In circumstances where the processes overlap, the chair may decide to resolve one issue prior to commencing the next process. The preference would be to resolve the grievance process as a matter of priority.

5.            Process Flow

6.            Dealing with Complaints

6.1                 Informal Resolution

The primary focus of this procedure is to uphold, encourage and maintain good employee relations as well as providing a mechanism whereby workplace issues can be raised and addressed. It is important therefore, that wherever possible, concerns or potential issues or complaints are dealt with as early as possible, adopting early intervention principles.

 Informal resolution will allow ongoing working relationships the greatest chance to continue in an appropriate and constructive manner.

Where possible, it is always initially encouraged that staff members should attempt to resolve any issues between themselves, in line with the University’s Values and Behaviours.

 However, if this is not possible, the member who has a concern should raise it with their line manager. The line manager will meet with the complainant with the aim of facilitating a discussion and if possible, reaching a timely resolution. Both line manager and the complainant should make genuine attempts to find a mutually acceptable solution to the problem during these informal discussions and only where it is agreed that the matter cannot be resolved informally and informal resolution is inappropriate, should the formal procedure be used. At this stage, the line manager may recommend mediation. View section 6.9 for details on the use of other resolution methods.

The aim of the informal process is to reach an acceptable outcome that minimises any potential detriment to ongoing workplace relationships between all staff.

Staff members and managers can refer to Appendix 1 for a list of parties who may be able to support the grievance process.

6.2                 Raising a Formal Complaint

The informal approach must be fully exhausted before the formal procedure is commenced, unless the complaint is of a suitably serious nature that may result in an outcome of gross misconduct. Where a staff member and manager have attempted to resolve a complaint informally without success, the complainant may raise the matter formally, without unreasonable delay, by writing to their line manager. Where the issue is against the manager, the complainant must raise the matter in writing with the relevant manager at the next management level (see Appendix 2).

Documenting a formal complaint in writing

The complainant should clearly set out:

• Details of the grievance, facts, or issue
• Names of any witnesses
• Identify the attempts to informally resolve the grievance
• Any relevant and concise documentary evidence / justification to support why the grievance has been raised
• The proposed resolution or outcome
•  

Acknowledgement by line manager – one to two days

On receipt of a formal complaint, the line manager will acknowledge receipt, usually within one to two working days. The acknowledgement, where possible, will include specifics such as the date, time and place for a meeting, or identify if the complaint requires investigation prior to a hearing.

Commencing an investigation – two to seven days

If the complaint is complex in nature it may be necessary for the line manager to commence a formal investigation, in situations where it is felt that more facts need to be established.  Normally the line manager will undertake the investigation (with support from HR&D), however, if it is not deemed appropriate that the line manager complete this, HR&D can appoint an investigating manager.

The Grievance Hearing – up to day ten

The line manager (or if the line manager was the investigating manager, the next line manager) will be responsible for convening the hearing, seeking to resolve and/or making a judgment on the complaint. If the manager is unavailable for an extended period (for example due to illness or holidays) or is a party to the grievance a manager at Grade 6 or above will be appointed to convene the hearing. The chair of the hearing will be supported by an HR Client Partner/Adviser (who will only offer procedural advice).

Parties must be aware that the hearing will be heard within ten days of being raised (depending on the length of time required for the investigation). Parties will then be invited to attend a formal hearing, they will be provided with a minimum of three working days notice.

The notification letter must include:

• date, time and location of the hearing
• confirm that the staff member has the right to be accompanied at the hearing by Trade Union representative, or University colleague
• enclose a copy of:
  1. Investigation report, including witness statements,
  2. Any other relevant information, and
  3. The Grievance Policy and Procedure.Parties must provide any additional relevant evidence for consideration at least two days prior to the hearing (information should be provided to HR for distribution). At the hearing, the complainant will have an opportunity to explain their concern and propose a resolution. Equally and jointly, the respondent will be allowed to respond. The investigating manager may be invited to the meeting to respond to any questions about the investigation. The position of both parties will be explored openly by the chair. This will avoid the requirement for a succession of meetings for the manager to gather the facts. Individual meetings may be arranged if the complainant raises an objection based on reasonable grounds, i.e. matter involving serious complaint/s. The chair may adjourn the hearing to make further investigations or seek advice/further information if they feel it necessary.
  4.  
  5. Written information not provided to the chair within this time will not be admissible.

 6.3                 Deciding on Appropriate Action

Once the chair is satisfied that the full facts of the matter have been heard, the hearing will be adjourned for a decision to be made as to the outcome of the complaint. Adjourning the hearing for the decision allows the chair to reflect on the case and give proper consideration to the facts. The chair must decide whether to:

• Uphold the complaint in full
• Partially uphold the complaint
• Not uphold the complaint.
•  

In all cases the reasons for the decision should be explained in writing to all participants (complainant and respondent) within five days of the hearing date unless further investigation is required.

In addition to communicating the outcome about the specific complaint/s, the chair is also entitled (and is some cases, should) make recommendations about courses of action to proactively manage the reoccurrence of the situation. The written response will also indicate the complainant has the right to appeal against the outcome of the hearing within five working days of the written receipt of the outcome.

Where the manager makes recommendations, or highlights any issues regarding policies or procedures, these will be monitored and reviewed by HR&D, to ensure that they are effectively dealt with.

If the complaint is against another member of staff, the outcome must also be communicated to them.

A copy of the letter will be retained by HR&D.

6.4                 Deciding on Appropriate Action

A potential outcome of a formal complaint requiring a workplace investigation or hearing could be that either the complainant or respondent is subject to disciplinary procedures (refer to the Disciplinary Policy and Procedure). Other possible outcomes may include: 

• Counselling
• Training
• Employee Support
• Mediation

6.5                 Consequences of Vexatious Grievance

The purpose of the grievance procedure is to ensure that the appropriate channels are available through which staff can raise genuine concerns. Where, after an investigation and hearing, a grievance is found to be vexatious or malicious, or where there is a continued pattern of unfounded complaints by the same complainant, the complainant may be subject to disciplinary procedures (refer to the Disciplinary Policy and Procedure).  

6.6                 The Appeal Process

If the complainant feels that the issue has not been satisfactorily resolved they may submit a written appeal to the next level of manager within five days of receiving notice of the outcome. The appeal meeting will normally be convened within 10 days of receipt of the statement of appeal. The person appealing must make all reasonable steps to attend the appeal meeting.

 The appeal statement must set out the specific grounds for appeal which may include:

• Procedural error
• Perverse or unfair decision by the chair
• Evidence that was not available at the time of the hearing

 The appeal will not be a re-hearing of the original grievance.

 The appeal will be assigned to, and heard by the next in line manager. Depending on the role of the complainant raising the complaint, this might be a member of the University’s Leadership Team (ULT). The manager will be supported at the appeal by an HR Client Partner / Adviser.

 At the appeal meeting, the complainant will be given the opportunity to explain the reasons why they are dissatisfied with the outcome of the formal process. The chair who heard the original complaint will then have an opportunity to explain their reasons. The appeal chair will consider the information presented. The appeal chair may adjourn the hearing to make further investigations or seek advice/further information if they feel it necessary. The appeal chair will make a final decision on the case within five days of the appeal hearing and notify the appellant of the outcome in writing.

 The right of appeal will have been exercised and the decision of the appeal chair is final.

6.7                 Guidance Timescales

The timescales outlined within this procedure are designed to ensure that issues are dealt with as quickly as reasonably practical. Where it is apparent that the normal timescales cannot be adhered to, it is expected that this is communicated to all parties and where possible mutually agree alterative timescales, within a reasonable period. Where this cannot be mutually agreed, the manager or chair organising the meeting will adjudicate and set a revised timescale.

Attendance at the hearing held must be prioritised (the employee’s Line Manager will make arrangements to enable this). If one party seeks to delay the timing of the hearing, a full explanation for the delay must be provided to the chair for consideration within two working days of the schedule time. Any requests for a delay within two working days will not normally be accepted. However, any reasonable exceptions will be considered by the chair.  If the employee fails to attend a re-scheduled hearing, the hearing may take place in their absence.

6.8                 Right to be Accompanied

All parties have a right to seek support during the grievance process. During the informal resolution stages, it is preferred that parties undertake all reasonable attempts to resolve the issues (or identify a workplace solution) directly with the line manager.   

The complainant and respondent have the right to be accompanied to the formal meeting and the appeal meeting as long as the companion is reasonably chosen (it would not normally be reasonable to be accompanied by a companion who would prejudice the hearing or to ask to be accompanied by a companion from a remote location if a someone suitable is available on site).  The chair must be informed of your nominated companion in writing. It may be: 

• Trade Union representative, or
• University colleague.
•  

Reasonable adjustments will be made for a member of staff with a disability.

Where a University colleague is asked to accompany an individual, they do not have to accept this request.

The nominated companion may address the hearing to input and sum up the complainant’s case, respond to any views expressed at the meeting and confer with the complainant during the hearing but may not answer questions on the complainant’s behalf, address the hearing if the complainant does not want them to or prevent other participants from explaining their point of view.

If, at any stage of the process, the complainant is invited to a meeting on a date when their chosen representative is not available, the complainant may request one postponement and agree a new date which is normally no more than five working days after the original date.

The respondent can chose to be accompanied.

6.9                 Use of other Resolution Methods

Depending upon the nature of the grievance, an independent third party, line manager or HR Client Partner, can sometimes help resolve issues through a facilitated discussion between the two parties. This is not mediation, however, having another individual involved in a discussion between two parties can help aid communication.

Mediation may also be an option. Mediation is a voluntary process, where a mediator helps two or more people in dispute to attempt to reach an agreement. Any agreement comes from those in dispute, not from the mediator. It should not be used by a manager to avoid their managerial responsibilities or where a member of staff raises an upheld discrimination or bullying & harassment case. Mediation is not appropriate where one party is not willing.

The grievance procedure may be suspended if mediation is deemed to be an appropriate method of resolving the complaint, rather than invoking the formal process. An appointed mediator could be a staff member (who is qualified) or an external qualified mediator.

6.10                 Keeping Records

Confidential records will be kept during the formal process and retained in-line with the University’s retention schedule, including:

• A copy of the written complaint
• Action taken and reasons for action taken
• Whether an appeal was heard and, if so, the outcome
• Subsequent developments.
• Outcome letters
•  

Normally an HR Adviser / Assistant will take a note (not verbatim) of the formal hearing and appeal hearing. Once finalised, a copy will be given to all parties on request. In addition, where an investigation is carried out, a written report will be compiled by the investigating manager and this will be circulated to the panel, and all other attending parties, for consideration prior to the formal hearing.

7.            Questions

If any staff member is unsure about any matter covered by this policy, they should seek the assistance of their HR Client Partner / Adviser for clarification.

 Definitions

Policy Version and Revision Information 

Change Record

Appendix 1

Support Available

Appendix 2

Who can Chair a Grievance Panel

 For all staff excluding direct reports to the Principal

For staff reporting directly to the Principal