Grievance Procedure
Grievance Procedure for Support, Research, Teaching and Scholarship and Casual Staff
Contents
- Grievance Procedure
- Procedure
- Long Term Sickness
- Holiday Periods
- Modified Procedure
- Revision or Termination of the Procedure
Aims of Procedure
The purpose of the grievance procedure set out below is to provide a means for dealing fairly and promptly with any grievance which an employee may have in the course of, and/or connected with, his or her employment. The existence of a grievance procedure allows employees, and in some circumstances former employees, to explore grievances and resolve them with managers rather than harbour grievances, which is not in the interests of good employee relations. Complaints against bullying and harassment can be addressed using the School’s Dignity at Work Procedure.
The aim of this procedure is to facilitate the process of resolution and to enable problems to be resolved as close to the point of origin as possible. Employees are encouraged, where possible, to try to resolve grievances informally in the first instance.
Scope
This procedure relates to support, research, teaching and scholarship, and casual staff other than those normally excluded by reason of the items below:
a) An attempt within 12 months of the completion of action under the grievance procedure to restart the procedure in respect of the same or similar grievance unless any action or remedies resulting from the original grievance has not been implemented. This will not apply in cases where there is substantial new evidence found which warrants a new hearing.
b) A declared grievance in connection with a matter which is being investigated or is connected with current disciplinary proceedings or any disciplinary action that has been imposed against the employee who is subject to the disciplinary procedure; the employee should usually follow the separate disciplinary and appeals procedure as appropriate.
c) A declared grievance in connection with alleged unsatisfactory attendance for which the employee is subject to the sickness absence management procedure.
d) Collective disputes. (Please refer to a senior member of the Human Resources Directorate for further information or guidance if you think this might be the case).
e) A declared grievance in connection with redundancy, termination of fixed term contract or grading. The employee should follow the appeals procedure set out in the relevant policies and procedures in each of these cases.
f) A grievance about a matter over which the School has no control.
Please contact a senior member of the Human Resources Directorate if you have any queries in relation to this procedure.
Confidentiality
Documentation relating to employees will be treated with the utmost confidentiality and related documentation will be subject to the provisions of the Data Protection Act 1998 (DPA) as appropriate. Employees will have the right to feedback and to access any documentation held on them that fall within the scope of the DPA.
During the formal stages of the grievance procedure, all parties need to respect the rights of all concerned. In particular, the aggrieved party and the employee who is the subject of the grievance should not discuss any aspect of the grievance raised with any other colleagues than their line manager, their representative/trade union representative or human resources.
Definition of terminology
Area: the term area means the relevant Academic or Service Department.
Service Area: administrative department such as the Library, Finance or Information Technology
Head of Service Area: e.g. Head of Library Services, Head of Finance, Director of Human Resources
Manager of Service Section: a manager of a team or section which forms part of a service area. The manager will normally report to the Head of Service Area.
Senior manager: Head of Academic Department or Centre; or Manager of Service Section or equivalent.
Line manager: the line manager will be the individual nominated by the Dean of Faculty or Head of Service Area to have supervisory responsibility over the employee.
Working day: a working day is defined as a weekday (Monday to Friday) but excluding Public Holidays and such additional days as when the School is deemed to be closed.
Monitoring and Review of the Procedure
In order to monitor compliance with and the effectiveness of SOAS’s Grievance Procedure, a senior member of the Human Resources Directorate may be invited to, or elect to be present at, any stage of the grievance procedure.
Annual reports on trends and statistics relating to grievances will be provided to the Senior Management of SOAS and the Trade Union Representatives.
This Procedure will be reviewed regularly in line with any changes in employment legislation.
Equality and diversity
The procedures outlined here should be carried out with due regard to any diversity issues which may have affected either the original situation or the current process. The School’s Diversity Adviser and diversity specialists within the Human Resources Directorate are available to support colleagues in this area. Where a diversity issue (e.g. a disability including chronic physical or mental health conditions) has been disclosed to the School, whether prior to the situation which triggered this process or during the process, the line manager co-ordinating the process is responsible for checking with the employee to determine their needs and for making the appropriate arrangements. Employees who have not previously disclosed a diversity issue which may be relevant to this process are encouraged to do so, as early as possible, so that it can be taken into account.
Procedure
Managers and staff are expected to resolve the vast majority of issues arising as part of the working relationship without recourse to the grievance procedure. If, however, such discussions break down, the aim of this procedure is to resolve the grievance as near as possible to the point of origin. At any stage in this procedure, a senior member of the Human Resources Directorate will be available to discuss the grievance procedure informally and without commitment on either side.
Every effort will be made to hold a meeting to discuss the employee’s grievance or appeal (see below) and to provide a decision within a reasonable timescale as specified in this procedure. However, if the matter is a complex one or if it requires a detailed investigation, or if the relevant personnel are unavailable, it may not be possible to meet those timescales. In these circumstances, the employee will be informed of the reason [for the delay] and the timescale in which a meeting will be held or a decision can be expected.
The employee must take all reasonable steps to attend any meeting arranged to discuss his or her grievance. A senior member of the Human Resources Directorate will also be present to advise and there will also be a clerk present who will keep a record of what is discussed and any outcomes agreed at the meeting. Time limits may be extended if management and the employee agree.
The senior member of the Human Resources team present has the authority to overrule the manager if there is a significant risk to the School where the proposed course of action to be followed.
The employee may be accompanied to any meeting in the formal stage of procedure at which the grievance is discussed, and at any subsequent appeal hearing by a recognised Trade Union representative or work colleague in line with the statutory right to be accompanied. Normally trade union representatives will not be involved in the informal stage, except as outlined below.
The procedure allows for a degree of flexibility whereby difficult or sensitive issues can be discussed with a more senior manager or a senior member of the Human Resources Directorate, where, for example, the grievance directly concerns issues such as discrimination, or victimisation . In such circumstances, it is recommended that the employee should contact the Human Resources Directorate on an informal basis prior to lodging a formal grievance (This member of the Human Resources Directorate will not undertake any further role in the proceedings). The employee may be advised that it would be more appropriate to invoke the relevant policy and procedure in these circumstances.
The Role of the Trade Union Representative or Colleague
All parties have the right to be accompanied by a colleague or trade union representative to any formal grievance meetings.
If the employee is to be accompanied, it must be agreed beforehand whether that person is to do so as a “representative”, i.e. to put the employees’ case, respond on the employees’ behalf to views expressed at the hearing and to sum up. Their role is not to answer questions on behalf of the employee. If the person is to accompany the employee as their “colleague”, their role is to support them and act as witness to the proceedings.
Consistent with the fact that a grievance hearing is an internal procedure, such attendance is restricted to other employees of the School or officials of recognised trade unions. Such representation should normally be limited to a single representative. Solicitors, family members and all other non-employees will be excluded from grievance hearings except in exceptional circumstances i.e. it may be appropriate for a family member to attend if the employee has a disability.
It is the employee’s responsibility to ensure that his or her chosen representative/colleague is willing to accompany him or her and is available to attend the meeting. If the employee’s chosen representative/colleague is unavailable on the proposed date the meeting may be postponed by up to 5 working days at the employee’s request.
The Role of the Clerk
An administrator will be provided solely to take the minutes of the hearing. They will be appointed by the manager and/or Human Resources and confidentiality will be ensured.
Right to Appeal
Employees have the right to appeal (except under the modified procedure - see below) against the School’s decision in respect of his or her grievance as provided for below.
Informal Stage
In order to resolve the matter, as speedily and amicably as possible the exact grounds of the grievance should be clarified quickly.
In many circumstances, it may be possible to resolve minor grievances directly by the employee speaking to the person(s) against whom they have a grievance, and asking them to cease or change their behaviour as appropriate. In instances where the employee feels unable to do this themselves, they should approach their line manager to do this on their behalf. If the grievance concerns the line manager, then the employee should approach human resources or their trade union representative to do this on their behalf.
If this initial approach fails to resolve the grievance or where the grievance is of a more serious nature, the emphasis should be on getting the parties together in an informal way which may be arranged by the line manager and which might best be facilitated by the intervention of a mutually agreeable third party. Such a person could be another senior colleague or member of management from a different Faculty or Department. At this stage there is no compulsion on the other party to participate in such an informal and unrecorded interview. The purpose of this interview is to resolve the matter speedily. [Where the employee’s complaint cannot be resolved informally it should be raised using the formal procedure set out below.]
Formal Stage
At all stages in the formal procedure, the employee has a right to be accompanied by a representative of a recognised trade union or a work colleague.
A employee wishing to proceed with a grievance shall confirm in writing to his or her immediate line manager the subject and reason for the grievance in full detail without unreasonable delay (e.g. normally within ten working days) of the incident giving rise to the grievance occurring or the unsatisfactory resolution of any informal grievance taking place. The employee should also put in writing how they think the grievance should be settled. In cases where employees have difficulty expressing themselves in writing they should be encouraged to seek help from a work colleague or trade union representative. A copy of the grievance letter should be sent to the Human Resources Directorate by the employee.
If the grievance relates to actions or behaviour directly related to the individual’s Line Manager then the employee should confirm in writing the nature of the grievance to the next level of management which would normally be the Head of Academic Department/Centre or Manager of Service Section.
The Human Resources Directorate will invite the employee to attend a hearing to discuss the grievance without unreasonable delay (normally within 10 working days) of receiving the employee’s written complaint. The employee must give the employer sufficient details of his/her grievance so that the School has the opportunity to consider it in advance of the hearing.
An employee who cannot attend the hearing should inform the employer in advance whenever possible. If the employee fails to attend through circumstances outside their control and unforeseeable at the time the meeting was arranged (eg illness) the School will arrange another meeting. If the aggrieved employee or the person who is the subject of the grievance and/or their respective representatives fail to attend the re-arranged meeting without good reason, the hearing may be held in their absence and decision may be taken at that hearing. If an employee’s trade union representative or colleague cannot attend on a proposed date, the employee can suggest another date so long as it is reasonable and not more than five working days after the date originally proposed by the School. This five day limit may be extended by mutual consent.
The Grievance Hearing
The hearing will normally be conducted by the employee’s immediate line manager (where that person is the object of the grievance the next level of management will conduct the hearing) and advised by a senior member of the Human Resources Directorate.
The Structure of the Hearing
- The employee, or their representative/colleague, will be asked to present the supporting facts and material concerning the grievance including the calling of any witnesses. They should also state how they think it should be settled
- If a grievance has been raised against another employee they are also entitled to have a representative/colleague present at the hearing.
- The employee and the manager conducting the hearing will be entitled to question any witnesses.
- The employee who committed the alleged act resulting in the grievance will then be given the opportunity to respond (if the grievance relates to an alleged act) and they and/or their representative/colleague will be given the opportunity to summarise to the panel.
- The employee, or their representative/colleague, will be given the opportunity to summarise to the panel.
When the grievance involves particularly sensitive circumstances, the manager conducting the hearing may decide to adjust the procedure to ensure that a proper and thorough hearing takes place so that the grievance is properly aired. This may involve the two parties to the grievance attending the hearing separately.
The manager conducting the hearing may adjourn the proceedings at any stage, or consider a request for an adjournment from the employee who raised the grievance, if this appears necessary or desirable. If adjourning to enable further information to be obtained, they will specify the nature of that information. Any adjournment will normally be for a stated period.
On completion of the proceedings, the manager conducting the hearing will respond in writing to the employee’s grievance (normally 5 working days) and provide a copy of the minutes of the hearing. A copy of these documents will be placed on the employee’s personal file. The employee will be notified of his or her right to appeal against the decision if he or she is not satisfied with it. If it is not possible to respond within 5 working days the employee will be given an explanation for the delay and informed of when a response can be expected.
Appeals
Employees have the right to appeal against any decision taken under the grievance procedure, and to be represented at the appeal hearing by a trade union representative or work colleague.
The Purpose of the Appeal
An appeal hearing is the means by which the School, acting as a reasonable employer, provides those employees who wish to do so, with a consistent forum in which to present a case arguing that the decision taken at the grievance hearing is incorrect.
Notification of Appeal Hearings
An employee wishing to appeal against any decision taken through the grievance procedure should inform a senior member of the Human Resources Directorate in writing. They should state the full grounds of their appeal, the basis for the appeal and provide all necessary supporting documentation. It should be noted that in this context, an appeal hearing is not a re-hearing and the grounds for appeal are therefore limited to procedural issues or because new evidence has come to light. The letter of appeal and any supporting evidence should be sent within ten working days of receipt of written confirmation of the decision of the grievance hearing.
The Human Resources Directorate will invite the aggrieved employee to an appeal hearing without unreasonable delay. Normally this will be within ten working days of receipt of notification by the Human Resources Directorate of the employee’s decision to appeal. The letter of invitation will be copied to the employee who is the subject of the grievance.
The appeal will normally be conducted by a manager who is senior to the manager who held the grievance hearing. This would normally be the Head of Academic Department/Centre or Manager of Service Area. The manager hearing the appeal will be advised by a senior member of Human Resources Directorate who was not involved at the original hearing. The appeal will follow the same process as the original hearing. As the appeal hearing is not a re-hearing, witnesses will only normally be present at the hearing if new evidence has come to light. A clerk will be present at the appeal hearing to record minutes.
A copy of the employee’s written statement will be passed to the line manager who conducted the grievance hearing. The manager will prepare a written response to the appeal, which s/he will present at the appeal hearing. A copy of this statement will be sent to the employee, together with details of its date, time and location, not less than five working days prior to the hearing.
If the aggrieved employee wishes to be accompanied at the appeal, it will be their responsibility to provide Human Resources with the name of their representative/colleague, and to provide that person with all information and documentation relating to their appeal. This will include the date and time of the hearing.
The employee who is the subject of the grievance hearing may choose to attend the appeal hearing and should notify the Human Resources Directorate of their attendance and if they will be accompanied by a work colleague or trade union representative.
The aggrieved employee or the employee who is the subject of the grievance who cannot attend the appeal should inform the human resources in advance whenever possible. If the aggrieved employee or the employee who is the subject of the grievance fails to attend through circumstances outside their control and unforeseeable at the time the meeting was arranged (e.g. illness) the School will arrange another meeting. If the aggrieved employee or the employee who is the subject of the grievance fail to attend the re-arranged meeting without good reason, the School reserves the right to conduct the appeal hearing in their absence and/or the absence of their representative and a decision may taken at that hearing. If an employee’s trade union representative or colleague cannot attend on a proposed date, the employee can suggest another date so long as it is reasonable and not more than five working days after the date originally proposed by the School. This five day limit may be extended by mutual consent.
The roles of the Trade Union representative or colleague and the clerk will be the same as at the original hearing.
On completion of the proceedings, the manager conducting the appeal will confirm in writing without reasonable delay (normally within 5 working days), the outcome and the reason for the decision. This shall be the final stage of the procedure.
Minutes of the appeal hearing will be circulated to all parties at the end of the process by the Clerk.
Long Term Sickness
In cases of long term sickness where it is impossible to follow the above steps the normal procedure may not be followed as circumstances are beyond the control of either or both parties.
Holiday Periods
In cases where there are long holiday periods, the School will make arrangements with the employee to enable the grievance to be resolved as quickly as possible to the satisfaction of both parties.
Modified Procedure
If a former employee lodges a grievance after his/her employment has ended and the parties agree, this procedure may be modified and completed in writing (without a meeting to discuss the grievance). The modified procedure may also be used if the School or the employee is unable to complete a step in the procedure e.g. the employee has moved away and cannot attend a meeting. Former members of staff should contact a senior member of the Human Resources Department in the first instance.
Modified Statutory Grievance Procedure
The stages of the Modified Statutory Grievance Procedure are as follows:
Step 1 – Statement of Grievance
The employee should send a statement to the School outlining their grievance and the basis for it.
Step 2 – Response
The School will respond in writing to grievance statement and send this to the employee.
Revision or Termination of the Procedure
The operation of this procedure will be periodically reviewed. Any amendment to it, after consultation with the recognised trade unions, will be advised to staff who will also be informed of the date when the amendment will come into effect. The procedure is not contractual and may be terminated by management upon giving not less than three months' notice to staff to whom it relates. If terminated, a new procedure will be introduced to supersede the existing policy.
Final version agreed with UCU and UNISON December 2006
Approved by Staffing Committee on 1 March 2007
PSM 15/12/2006
