Grievance Procedure for Teaching & Research (Academic) Staff – Lecturers, Senior Lecturers, Readers and Professors

Contents

1. Aims of procedure
2. Scope
3. Confidentiality
4. Academic freedom
5. Definition of terminology
6. Monitoring and review of the procedure
7. Equality and diversity
8. Procedure
9. The role of the trade union representative or colleague
10. Informal Stage
11. Formal Stage
12. The Grievance Hearing
13. Appeals
14. Long Term Sickness
15. Holiday periods
16. Revision or termination of the procedure
 

1. Aim of the Grievance Procedure

1.1 The purpose of the grievance procedure set out below is to provide a means for dealing fairly and promptly with any grievance which a Teaching & Research (Academic staff – Lecturers, Senior Lecturers, Readers and Professors) employee may have in the course of, and/or connected with, his or her employment with the School.

1.2 The existence of a grievance procedure allows employees to explore grievances and resolve them with colleagues rather than harbour grievances, which is not in the interests of good employee relations.
1.3 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. Teaching & Research staff are encouraged, where possible, to try to resolve grievances informally in the first instance.

2. Scope

2.1 In accordance with the Standing Order relating to Academic Staff: Dismissal, Discipline and Grievance Procedures and Related Matters, Part I, I (1)1 , this procedure applies to all full time and part time Teaching & Research staff as designated by the School’s Standing Order and as specified in individual contracts of employment.

2.2 This procedure shall apply to grievances by Teaching & Research staff concerning their appointments or employment in relation to matters affecting themselves as individuals or their personal dealings or relationships with the School, as stipulated by the Standing Order relating to Academic Staff: Dismissal, Discipline and Grievance Procedures and Related Matters, Part VI, (2)2.

2.3 The following complaints are normally excluded from consideration under this procedure;

• 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 have 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 under the Standing Order relating to Academic Staff: Dismissal, Discipline and Grievance Procedures and Related Matters, Part III, 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 in accordance with the Standing Order relating to Academic Staff: Dismissal, Discipline and Grievance Procedures and Related Matters, Part IV.
• d) Collective disputes. (Please refer to one of the School’s HR Managers for further information or guidance if you think this might be the case). Contact details are set out at the end of this document.
• e) A declared grievance in connection with redundancy (see the Standing Order relating to Academic Staff: Dismissal, Discipline and Grievance Procedures and Related Matters, Part II and associated procedures), termination of fixed term contract (see the Standing Order relating to Academic Staff: Dismissal, Discipline and Grievance Procedures and Related Matters, Part V and associated procedures) or grading. The employee should follow the appeals procedure set out in the relevant policies and procedures in each of these cases.
• f) Complaints against bullying and harassment which should be addressed initially under the School’s Dignity at SOAS Policy & Procedure. Any formal complaints will be addressed through this Grievance Procedure.
• g) A grievance about a matter over which the School has no control.

2.4 However, in accordance with the Standing Order relating to Academic Staff: Dismissal, Discipline and Grievance Procedures and Related Matters, Part VI, (2)3 , the Grievance Procedure may also be followed if any other Procedure prescribed by Governing Body under the Standing Order relating to Academic Staff: Dismissal, Discipline and Grievance Procedures and Related Matters (e.g. relating to Disciplinary, Redundancy, Ending of Fixed-term Contracts, or Incapacity on Health Grounds) is less favourable to the individual than this Grievance Procedure.

3. Confidentiality

3.1 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.

3.2 All records relating to the grievance will be retained in line with the School's Retention Schedule .

3.3 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 Head of Department / Dean of Faculty, their trade union representative / colleague or the Human Resources Directorate.

4. Academic freedom

4.1 When applying this Grievance Procedure, the School will have due regard to the academic freedom of staff. In particular, in line with the Standing Order relating to Academic Staff: Dismissal, Discipline and Grievance Procedures and Related Matters, Part I, 2 (1)4 , the School will apply the following principles during the grievance process:

• i. That Teaching & Research staff have the freedom within the law to question and test received wisdom, and to put forward new ideas and controversial or unpopular opinions, without placing themselves in jeopardy of losing their jobs or privileges:
• ii. To enable the School to provide education, promote learning and engage in research efficiently and economically; and
• iii. To apply the principles of justice and fairness.

4.2 Each specific procedure prescribed by Governing Body under the Standing Order relating to Academic Staff: Dismissal, Discipline and Grievance Procedures and Related Matters (e.g. Disciplinary Procedure, Redundancy Procedure etc), sets out a process for Teaching & Research staff who wish to invoke the Standing Order relating to Academic Staff: Dismissal, Discipline and Grievance Procedures and Related Matters Part I, 2 (1) (i)5 by claiming the principle of academic freedom in defence or mitigation of their actions and therefore the Grievance Procedure will not apply in such cases.

4.3 However, Teaching & Research staff may wish to use to this Grievance Procedure if they feel that their academic freedom (as outlined above) has been unfairly infringed and the matter is not covered by a procedure prescribed by Governing Body under the Standing Order relating to Academic Staff: Dismissal, Discipline and Grievance Procedures and Related Matters I.

4.4 A member of Teaching & Research staff who is the subject of a grievance has the right to invoke the Standing Order relating to Academic Staff: Dismissal, Discipline and Grievance Procedures and Related Matters Part I, 2 (1) (i)6 by claiming the principle of academic freedom in defence or mitigation of the grievance made against them. The Grievance Officer or Grievance (Appeal) Panel (as appropriate) will consider the claim by the Teaching & Research staff member and if they find that the sole reason for the grievance is due to the fact that the employee who is the subject of the grievance has questioned or tested received wisdom or put forward new ideas or controversial opinions, the grievance will be treated as invalid. In such cases, where a Teaching & Research member of staff has received a warning or other disciplinary penalty resulting from a grievance, this will normally be expunged or rescinded as appropriate. This is in accordance with the Standing Order relating to Academic Staff: Dismissal, Discipline and Grievance Procedures and Related Matters, Part 1, 2, (2)7.

4.5 However, employees should be aware that the right of freedom of expression attaches only to lawful conduct (e.g. it does not confer a right to incite others to violence or racial hatred nor does it confer the right to harass or bully other members of staff or students who happen not to share particular views or beliefs). The School expects that staff will always exercise the right of freedom of expression with due consideration for others’ feelings and opinions.

5. Definition of terminology

Academic Staff : now known as Teaching & Research staff, i.e. staff whose roles involve both teaching and research (Lecturers / Senior Lecturers / Readers / Professors).

Area : the term area means the relevant Academic Department.

Service Area : academic department such as Anthropology; Law Department; South Asia Department, etc.

Head of Service Area : e.g. Head of History, Head of Music, Head of Language Centre.

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.

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.

Grievance Officer : the person conducting a Grievance Hearing, who will normally be the Dean of Faculty.

Grievance (Appeal) Panel : a panel of three persons constituted in accordance with the Standing Order relating to Academic Staff: Dismissal, Discipline and Grievance Procedures and Related Matters, Part I, 4 (1)8 who will consider appeals against decisions made by Grievance Officers. The panel will be composed of three persons, none of whom shall previously have any involvement with the case. At least one member of the Panel will be a lay member of Governing Body and one member of the Grievance (Appeal) Panel should be drawn from a list agreed from time to time by the School’s Academic Board.
Academic freedom: is the freedom of academic staff within the law to question and test received wisdom, and to put forward new ideas and controversial or unpopular opinions, without placing themselves in jeopardy of losing their jobs or privileges. In accordance with the Standing Order relating to Academic Staff: Dismissal, Discipline and Grievance Procedures and Related Matters, Part I, 2 (3) 9, where there is any issue about the meaning of academic freedom, regard shall be have to Sections VI and VII of the Recommendations concerning the Status of Higher Education Teaching Personnel adopted by the General Conference of the United Nations Educational, Scientific and Cultural Organisation (UNESCO) in Paris on 11 November 1997.

6. Monitoring and Review of the Procedure

6.1 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.

6.2 Annual reports on trends and statistics relating to grievances will be provided to the School’s Equality and Diversity Committee.

6.3 This Procedure will be reviewed regularly in line with any changes in employment legislation.

7. Equality and diversity

7.1 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 HR Directorate are available to support colleagues in this area.

7.2 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.

7.3 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.

8. Procedure

8.1 Managers and academic 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.

8.2 Every effort will be made to hold a meeting to discuss the employee’s informal or formal 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.

8.3 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 be present to advise and there will also be a note taker, appointed by HR, 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.

8.4 The senior member of the Human Resources Directorate present has the authority to overrule the Grievance Officer where there is a significant risk to the School should the proposed course of action be followed.

9. The Role of the Trade Union Representative or Colleague

9.1 Both the complainant and the respondent have the right to be accompanied by a colleague or a trade union representative to any formal grievance meetings.

9.2 If the employee is to be accompanied, it must be agreed beforehand whether the companion is attending as a “representative” or as a “colleague”. A representative may put the employee’s case, respond on the employee’s behalf to views expressed at the hearing and sum up. A “colleague’s” role is to support them and act as witness to the proceedings.

9.3 The aggrieved employee and the employee who is the subject of the grievance may be accompanied by any person where a Grievance (Appeal) Panel has been convened in order to consider an appeal against the decision of a Grievance Officer. This is in accordance with the Standing Order relating to Academic Staff: Dismissal, Discipline and Grievance Procedures and Related Matters, Part I, 4 (2)10. The School reserves the right for the Grievance (Appeal) Panel to be advised by a solicitor, barrister, expert or other relevant person where an employee has elected to be represented or assisted by a solicitor, barrister, expert or other relevant person.

9.4 Neither a representative, nor a colleague nor a companion may answer questions on behalf of the complainant or respondent.

9.5 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 five working days at the employee’s request.

9.6 In the case of disabled employees, it may be appropriate for a family member or carer to attend any grievance meeting.

10. Informal Stage

10.1 In order to resolve the matter, as speedily and amicably as possible the exact grounds of the grievance should be clarified quickly.

10.2 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 the Human Resources Directorate or their trade union representative to do this on their behalf.

10.3 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.]

10.4 As an alternative to raising a complaint through the formal grievance procedure, or at any stage during the formal procedure, the complainant may instead request that the matter is dealt with through mediation. Mediation is voluntary and will only take place with the agreement of all relevant parties.

10.5 Once the formal Grievance Procedure has been instigated, where mediation is agreed in principle, the formal grievance procedure will be adjourned whilst the mediation takes place. In the event that no mutually acceptable solution is reached through mediation, the formal grievance procedure will be reconvened, recommencing at the point of adjournment.

10.6 The mediation is conducted by a trained mediator, who will aim to help the parties in dispute to come to an agreement and resolution. The mediator may be external to SOAS, will be neutral to the dispute and will be there to facilitate the parties towards achieving a mutually acceptable resolution.

10.7 If the complaint is resolved through mediation, the mediator will assist the parties in drafting a written agreement that will be signed by all relevant parties as evidence of the mutual acceptance of its terms.

11. Formal Stage

11.1 An employee wishing to proceed with a grievance shall confirm in writing to his or her Dean of Faculty 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.

11.2 If the grievance relates to actions or behaviour directly related to the individual’s Dean of Faculty then the employee should confirm in writing the nature of the grievance to the next level of management which would normally be the Pro-Director (Learning & Teaching) or Pro-Director (Research & Enterprise).

11.3 The Human Resources Directorate will invite the employee to attend a hearing to discuss the grievance without unreasonable delay (normally within ten 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.

11.4 An employee who cannot attend the hearing should inform the School in advance whenever possible. If the employee 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 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; inferences may be drawn from their non-attendance and decisions may be taken at that hearing. The HR Directorate will make every effort to encourage attendance at the hearing.

11.5 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.

12. The Grievance Hearing

12.1 The hearing will be conducted by a Grievance Officer who will normally be the employee’s Dean of Faculty (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.

12.2 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 trade union representative/colleague present at the hearing.
• The employee and the Grievance Officer 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.

12.3 Certain exceptional cases may involve particularly sensitive circumstances or the perceived possibility of intimidation of one of the parties and/or either party may request their evidence to be heard separately. In such exceptional cases, following consideration of the circumstances, the Grievance Officer may decide to hear each of the parties separately to ensure that the grievance is properly aired. The Grievance Officer will be responsible for ensuring that both sides are fully apprised of the other’s responses, in the interest of natural justice.

12.4 The Grievance Officer 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.

12.5 On completion of the proceedings, the Grievance Officer will respond in writing to the employee’s grievance (normally five 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 five working days the employee will be given an explanation for the delay and informed of when a response can be expected.

12.6 Should the employee request clarification of the decision, a meeting with the senior member of the Human Resources Directorate who advised on the hearing will be arranged.

12.7 Should the decision comprise one or more recommendations for action, the Grievance Officer will review the case to ensure that these are undertaken within a defined period and, where they are not, will liaise with the HR Directorate to ensure that the appropriate measures are taken.

13. Appeals

An employee who is dissatisfied with the outcome of a complaint has the right to appeal against any decision taken by the Grievance Officer and to have the complaint heard by a Grievance Panel unless the complaint has been ruled frivolous, vexatious or invalid in accordance with the Procedure. This is in accordance with the Standing Order relating to Academic Staff: Dismissal, Discipline and Grievance Procedures and Related Matters, Part 6, 18 (5)11. The employee may be represented at the appeal hearing by any person.

13.1 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.

13.2 Notification of Appeal Hearings An employee wishing to appeal against any decision taken by the Grievance Officer should inform the Director of Human Resources in writing. They should state the full grounds of their appeal (e.g. procedural, new evidence, etc.), the basis for the appeal and provide all necessary supporting documentation. 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.

13.3 The HR Directorate will invite the aggrieved employee to an appeal hearing without unreasonable delay. Normally this will be within twenty-eight working days of receipt of notification by the HR Director of the employee’s decision to appeal, or much sooner if possible. The letter of invitation will be copied to the employee who is the subject of the grievance.

13.4 The appeal will normally be conducted by a Grievance (Appeal) Panel constituted in accordance with the Standing Order relating to Academic Staff: Dismissal, Discipline and Grievance Procedures and Related Matters, Part I, 4 (1)12. The panel will be composed of three persons, none of whom shall previously have any involvement with the case. At least one member of the Panel will be a lay member of Governing Body and one member of the Grievance (Appeal) Panel should be drawn from a list agreed from time to time by the School’s Academic Board.

13.5 The Grievance (Appeal) Panel will be advised by a HR Manager from the HR Directorate who was not involved at the original grievance hearing.

13.6 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 where they are pertinent to the grounds of the appeal. A note taker appointed by the Human Resources Directorate will be present at the appeal hearing to record minutes.

13.7 A copy of the employee’s written statement will be passed to the Grievance Officer who 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 appeal hearing.

13.8 If the aggrieved employee wishes to be accompanied at the appeal, it will be their responsibility to provide the HR Directorate with the name of their representative in advance, and to provide that person with all information and documentation relating to their appeal. This will include the date and time of the hearing.

13.9 The employee who is the subject of the grievance hearing may choose to attend the appeal hearing and should notify the HR Directorate of their attendance and if they will be accompanied by a representative.

13.10 The aggrieved employee or the Grievance Officer who cannot attend the appeal should inform the HR Directorate in advance whenever possible. If the aggrieved employee or the Grievance Officer fails to attend through circumstances outside their control and unforeseeable at the time the appeal meeting was arranged (e.g. illness) the School will arrange another appeal meeting. If the aggrieved employee or the Grievance Officer fail to attend the re-arranged appeal meeting without good reason, the School reserves the right to conduct the appeal hearing in their absence and/or the absence of their representative; inferences may be drawn from their non-attendance and a decision may be taken at that appeal hearing. The HR Directorate will make every effort to encourage attendance at the appeal hearing.

13.11 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.

13.12 The roles of the representative or colleague and the note taker will be the same as at the original grievance hearing.

13.13 On completion of the proceedings, the Chair of the Grievance (Appeal) Panel will confirm in writing without reasonable delay (normally within five working days), the outcome and the reason(s) for the decision. This shall be the final stage of the procedure.

13.14 In accordance with the Standing Order relating to Academic Staff: Dismissal, Discipline and Grievance Procedures and Related Matters, Part 1, 4 (3)13, the decision of the Grievance (Appeal) Panel will be reported to Governing Body.

13.15 Minutes of the appeal hearing will be circulated to all parties at the end of the process by the note taker.

14. Long Term Sickness

14.1 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.

15. Holiday Periods

15.1 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.

16. Revision or Termination of the Procedure

16.1 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.

Approved by Executive Board on 17 June 2013

Final revised version agreed with UCU on 21 August 2013