Grievance FAQs
Formal complaints by School employees are called ‘grievances’ and generally fall under the Grievance Procedure for Support, Research, Teaching & Scholarship and Casual Staff http://www.soas.ac.uk/hr/procedures/emprel/grievance/file86927.pdf or the Grievance Procedure for Teaching & Research (Academic) Staff http://www.soas.ac.uk/hr/procedures/emprel/grievance/file86929.pdf . Complaints relating to harassment and bullying initially fall under the Dignity at SOAS Policy & Procedure http://www.soas.ac.uk/equalitydiversity/dignitysuite/ .
The Grievance Procedure has two distinct stages; an informal process and then a formal procedure.
Employees are encouraged to try to resolve any concerns informally in the first instance, as this can produce a speedier resolution, be less stressful for all concerned and also be less harmful to on-going working relationships. Any formal grievance is likely to be stronger if you have made real efforts to try to address your concerns informally. Your designated HR Manager http://www.soas.ac.uk/hr/hrdirectorate/wholooks/ and/or your trade union representative can give you further advice on the pros and cons of the informal process and how to initiate one.
The informal stage can consist of a number of different options, depending what is appropriate for you, the circumstances of your case and the wishes of other parties:
you speaking to the person who is the subject of your complaint directly and asking them to cease or change their behaviour;
- you asking your line manager / Head of Department (or Course Convenor for Fractional Teachers), HR or your trade union representative to speak to the person who is the subject of your grievance on your behalf;
- a face to face meeting with all parties facilitated by a mutually agreed third party (your line manager or a senior colleague from a different department or faculty);
- mediation by talking to both parties involved in the disagreement to help them find a solution to their problem
If an informal process has failed to address your concerns, or you decide that your complaint is so serious that you wish to initiate the formal procedure immediately, you will need to put your complaint in writing to your immediate line manager and copy to the HR Directorate.
Your complaint will be considered at a formal grievance hearing by a ‘Grievance Officer’ (a manager not previously involved in your case, normally your line manager / Head of Department / Centre). Remember that the Grievance Officer will not know any information about your complaint other than what you tell them, so ensure that your grievance letter is clear, comprehensive and includes any supporting evidence (e.g. emails, correspondence, etc.). A key component to include is what you feel would resolve your grievance. Try to ensure that your proposed resolution is reasonable and achievable. Try to be as factual as possible in your grievance letter and refer to your documentary evidence where necessary. You may want to describe the impact that events have had on you personally, but try to avoid making unsubstantiated allegations or statements which could reasonably be expected to cause offence or upset to others. Remember that you are likely to have to continue working alongside colleagues after the grievance process has finished. Your trade union representative can give you advice on submitting a formal grievance.
The HR Directorate will invite you to a grievance hearing. The Grievance Officer (line manager / Head of Department conducting the hearing) will start the meeting by explaining the structure of the hearing. You and the respondent will be able to make your respective cases, to invite witnesses and to ask questions of each other. You and the respondent have the right to be accompanied by a trade union representative or a work colleague, but neither can answer questions on your behalf. If you or your representative are unable to attend on the scheduled date, you should inform HR as soon as possible. It is helpful to let HR know alternative dates when you and your representative will be available so a new date for the hearing can be expedited.
The grievance hearing may be adjourned, should the Grievance Officer decide that an investigation into certain facts is required.
You will be informed of the outcome of the grievance in writing, normally within 5 days of the date of the hearing, unless a longer deadline is agreed. If you are unhappy with the outcome, you can appeal in accordance with the procedure. Make sure that your appeal letter fully explains the reason for your appeal.
There are difference circumstances when you may have to respond to a grievance.
The first is when you are the subject of a grievance taken out by a colleague or student.
The second circumstance is when you may be asked to give evidence as a witness in a colleague’s grievance or a student’s complaint.
The grievance procedure for employees and the grievance procedure for students operate differently; the staff grievance procedure(s) have been developed in line with employment legislation including ACAS guidance and consultation on the procedure(s) have been carried out with UCU and UNISON. Please read the relevant procedure to ensure that you fully understand the stages that you may be involved in and what may be expected of you.
Student dissatisfaction with teaching or supervision, or with the service provided by a professional services department or faculty office would be covered under the Student Complaints Procedure (Annex 2). However, harassment claims are excluded as these come under the Dignity at SOAS Policy & Procedure for Students.
When responding to a student complaint, first ensure that you fully understand the nature of the complaint, have read any supporting evidence and the appropriate procedure.
Consider if you have any relevant evidence such as email exchanges, information from Moodle, class registers etc. Try to collate any information as soon as possible, as it will help you in responding to the complaint.
It is recommended that you actively participate in order to try to resolve the complaint as speedily and amicably as possible. Provide your evidence to the appropriate person managing the case. Try to respond in a calm, concise and factual manner, drawing on your evidence where appropriate. Consider if there is anything you can do to help address the student’s complaint.
Being the subject of a grievance is fortunately quite rare but when it does happen, it can be a difficult process for you, the aggrieved employee (who took out the grievance) and other parties such as witnesses. Remember that you will have to continue working with these individuals after the grievance process has finished. Try, if possible, to depersonalise the situation; often the aggrieved employee may be angry at a situation, rather than you personally. Reflect on the exact nature of the grievance and your role in it. Try to think positively; is there anything that you can do to help address the aggrieved employee’s concerns or improve working relationships in the future? Is there any help you can get in improving the situation or relationship? In some situations, it can be possible to arrange for mediation to help improve conflict and difficult working relationships.
Support and advice is available to you during a staff grievance process. You can get further advice from your trade union representative or your designated HR team. Remember however, that the grievance process is confidential and should not be discussed with others.
The staff grievance procedure(s) has a number of different stages; informal stage, formal grievance hearing and formal appeal hearing.
If you are asked to participate in an informal grievance process, establish first the type of resolution that is being proposed and exactly what your role is in it. The process will be an opportunity for you to clarify exactly what the nature of the aggrieved employee’s complaint is and your role in this. Try to listen to the other parties’ views, respond calmly even if you disagree with their points, stick to the facts rather than personal opinion as much as possible, be prepared to compromise and offer constructive solutions to solve the complaint if you can. Remember that if the grievance cannot be resolved informally, the aggrieved employee may initiate a formal grievance.
The formal grievance process is prescribed by the relevant formal Grievance Procedure which you should read carefully before attending a hearing.
Make sure that you prepare in advance prior to the grievance hearing. You should be provided with the grievance statement and any supporting documents in advance of the hearing; consider if you also have any additional documentary evidence such as emails, letters, memos, etc. which are relevant to the grievance. You should send all your evidence together with a statement in response to the grievance to HR before the grievance hearing (see flowchart for timescales). Speak to your trade union representative or HR before responding to the grievance, for further information and advice. Ensure that you are familiar with all the evidence prior to the hearing, try to be concise and factual in your responses at the hearing and be prepared to compromise or offer suggestions to try to address the grievance. Try to avoid any behaviour at the grievance hearing which may damage working relationships.
If you are a witness to a grievance, you may be asked to attend a grievance hearing to give evidence; you may also be asked to provide a witness statement or documentary evidence (e.g. emails, correspondence, etc.) prior to the hearing . Remember that you are not being asked to ‘take sides’ – merely to present evidence which might help, for example, to clarify or explain events and thereby lead to a resolution.
Try to keep your evidence as factual as possible and avoid giving your personal opinions unless specifically requested. You may be questioned at the hearing by the Grievance Officer (the manager chairing the hearing), the aggrieved employee (who took out the grievance), their trade union representative or HR representative. You can speak to the HR advisor dealing with the case, for information and advice on the procedure prior to the hearing.
The Dignity at SOAS Policy & Procedures cover complaints of bullying and harassment at an informal stage. Should the complaint not be resolved informally, or if it is so serious that it should be dealt with formally, it would be progressed under the Grievance Procedure.
- To welcome attendees and put them at their ease. Maintain a calm, professional atmosphere.
- To explain the process to be followed. Allow breaks if necessary. Ensure that all relevant documentation has been provided.
- Consider whether any reasonable adjustments are necessary for a person who is disabled and/or their companion.
- To invite the complainant to re-state their grievance and how they would like to see it resolved.
- To ensure that both parties have the opportunity to state their case without interruption and to respond to questions.
- To inform the complainant of their right of appeal, if they are not satisfied with the outcome of the hearing.
After the hearing
- To ensure that recommended actions, if any, are undertaken
- To arrange for Team Building, if necessary