GRIEVANCE POLICY & PROCEDURE Us/Policies and procedures... · Grievance Policy (Version 3.0) March 2015 1 GRIEVANCE POLICY & PROCEDURE Version: 3.0 Policy Number: Workforce 28 Policy

Grievance Policy (Version 3.0) March 2015 1

GRIEVANCE POLICY & PROCEDURE

Version: 3.0

Policy Number: Workforce 28

Policy Lead/Author & position:

Maria Gregoriou Interim Head of Business Partnering

Ward / Department: Workforce Directorate

Replacing Document: Grievance Policy & Procedure (dated

October 2008)

Approving Committee / Group:

Executive Director of Workforce

Date Approved/Ratified: 28th April 2015

Approved By: Policy Development, Monitoring & Review Group Joint Staff Committee

Previous Reviewed Dates: January 2009

Date of Current Review: March 2015

Date of Next Review: March 2016

Relevant NHSLA Standard(s):

Nil

Target Audience As outlined by the Scope of the

Policy


EQUALITY STATEMENT Barnet, Enfield and Haringey NHS Trust aims to design and implement services, policies and measures that meet the diverse needs of our service, population and workforce, ensuring that none are placed at a disadvantage over others. It takes into account the Equality Act (2010) including the Human Rights Act 1998 and promotes equal opportunities for all. This document has been assessed to ensure that no employee receives less favourable treatment on the protected characteristics of their age, disability, sex (gender), gender reassignment, sexual orientation, marriage and civil partnership, race, religion or belief, pregnancy and maternity. Members of staff, volunteers or members of the public may request assistance with this policy if they have particular needs. If the member of staff has language difficulties and difficulty in understanding this policy, the use of an interpreter will be considered. Barnet, Enfield and Haringey Mental Health NHS Trust embraces the four staff pledges in the NHS Constitution Policy (copy and paste hyperlink below) this policy is consistent with these pledges. https://www.gov.uk/government/uploads/system/uploads/attachment_data/file/170656/NHS_Constitution.pdf The Trust is also committed to safeguarding and promoting the welfare of children, young people and vulnerable adults and expects all staff and volunteers to share this commitment. CONSULTATION RECORD OF PROCEDURAL DOCUMENT FORM

Name and Title of Individual Date Consulted

Maria Gregoriou March 2015

Contributing Author/s:

Name of Committee Date of Committee

Workforce Directorate/Executive Director of Workforce

March 2015/April 2015

Version Control Summary

Version Date Section Author Comments

2.0 February 2012

All Padraig Brady Amendment to policy to reflect current employment practice and to ensure the policy is fit for purpose for the merged organisation

3.0 March 2015

All Maria Gregoriou Changes in terminology


CONTENTS

Section Heading Page

1 Policy Statement 4

2 Policy Aim 4

3 Scope of Policy 4

4 Definitions 6

5 Duties 6

6 Principles Underlying the Grievance Policy & Procedure 8

7 Facilitated Conversation or Mediation 10

8 Grievance Procedure – Step One 12

9 Grievance Procedure – Step 2 12

10 Grievance Procedure – Step 3 13

11 Process When an Employee Has Left the Trust Prior to 14

Resolving a Grievance

12 Role of the Local Counter Fraud Specialist 14

13 Monitoring Compliance & Effectiveness (Template Page 32) 15

14 Dissemination & Implementation 15

15 Review Plan 15

16 Associated Trust Documentation 15

Appendices

Appendix 1 Flowcharts of the Grievance Procedure 16

Appendix 2 Grievance Form 18

Appendix 3 Levels of Management for Each Grievance 21

Appendix 4 Template Letter – Invitation to meeting with Investigator 22

Appendix 5 Template Letter – Invitation to Hearing 23

Appendix 6 Template Letter – Outcome Letter 24

Appendix 7 Guidance on Mediation Procedure 25

Appendix 8 Equal Opportunities Monitoring Form 26

Equality Impact Assessment 27

Monitoring Compliance Form 31


1. POLICY STATEMENT

1.1 Barnet, Enfield and Haringey Mental Health NHS Trust (the Trust) considers that it is best practice to have a fair, clear and consistent policy for dealing with employee grievances.

1.2 The Trust recognizes that management, employees and their representatives

share a common interest in the quick settlement of issues causing dissatisfaction, either to an individual or to a group of employees.

An agreed and effective Grievance Procedure can contribute significantly to the creation and maintenance of good management/staff relations generally as well as to the satisfactory resolution of grievances.

1.4 The Trust is mindful nonetheless, that informal resolution may not always be

achievable. In such circumstances it expects the formal stages of this procedure to be followed.

2. AIM

2.1 Employees of the Trust have the right to seek redress through their line manager for any arising grievance. This Policy and Procedure has been designed to ensure that every employee who raises a grievance can obtain a response to the issue and an explanation as to the circumstances prevailing at the time.

2.2 Wherever possible, The Trust encourages and expects that grievances will be

raised and resolved informally and as locally as possible.

2.3 If an employee has difficulty at any stage of the grievance procedure because of a disability, they should approach the manager dealing with the grievance for assistance.

3. SCOPE OF POLICY

3.1 This policy and procedure applies to all employees directly employed by the Trust. Other workers will be subject to the procedures laid out in any written agreement that exists between The Trust and/or the worker and/or the agency through which they work. The Trust’s Grievance Policy will not apply to agency workers and independent contractors.


3.2 The Trust may vary this procedure where it is appropriate to do so in order to follow the statutory duty to provide an effective grievance procedure. In particular, agreed variations may be necessary in the case of Executive Directors and Senior Managers or to assist employees with a disability.

3.3 In circumstances where a grievance may apply to more than one employee, and

where these employees agree to seek resolution as a group, they may agree to raise a shared grievance for joint resolution under this procedure.

3.4 Common issues which may give rise to a grievance (this is not intended to

constitute an exhaustive list) include: a decision taken by your manager; terms and conditions of employment; health and safety; new working practices; organisational change and equal opportunities. However, grievances may also include any other written complaint by an employee at the Trust, relating to their employment.

3.5 There is a separate procedure under Agenda for Change for reviewing the

banding of posts. There is also a separate national intra-professional panel for determining appeals for junior doctors and a further separate procedure for consultant job plans.

3.6 Time limits at each stage are to ensure a speedy resolution of the matter at the

earliest opportunity, but may be varied by mutual agreement or under exceptional circumstances prevailing at the time.

3.7 The procedure does not apply to the following issues or concerns: Misconduct or

poor performance. These matters will be dealt with in accordance with The Trust’s Disciplinary Procedure including, in particular, through the appeal process set out therein. Any terms and conditions of employment that are either set nationally or by local collective bargaining procedures. Grading appeals or KSF framework and gateway appeals. Complaints in relation to discrimination, harassment, victimisation or bullying, which will be dealt with under the Trust’s Anti-harassment and Bullying Policy. Reports of illegal activities, wrongdoing and/or malpractice within The Trust, which will be dealt with under the Raising Concerns at Work (Whistleblowing) Policy and Procedure. However, where the employee is aggrieved about their personal position and would like the matter dealt with as a grievance, the employee should use this grievance procedure. Any other matter for which a separate local procedure exists.

3.8 If, in the course of a disciplinary process, a grievance is raised that relates to

the case, consideration will be given to either suspending the disciplinary process for a short time whilst the grievance is dealt with under this procedure


or dealing with the complaint through the disciplinary appeal process. Dependent on the circumstances, and after seeking advice from the Workforce Business Partnering (WBP) team, the Trust may appoint an alternative, neutral manager (or take the view that the already appointed manager is sufficiently neutral) to consider either the grievance alone (concurrent with the disciplinary process) or both the grievance and disciplinary matters as part of the same disciplinary investigation and process.

4. DEFINITIONS

Definitions used in this procedure :

4.1 Definition of grievance. The term Grievance is used to describe circumstances where an employee wishes to raise a matter of concern in connection with his or her employment, including the application of conditions of service, as set out at paragraph 2.3 above. Such circumstances will normally result from some action that the employer has taken or proposes to take which affects the employee.

4.2 Aggrieved employee(s) or the aggrieved: The staff member or members who

have lodged the grievance.

4.3 Vexatious grievance: A vexatious grievance is one that: Is based on deliberate misrepresentations or untruths; Lacks a serious value or purpose; Is not made in good faith, for example, it is designed to cause annoyance and disruptions; or Can otherwise fairly be characterised as manifestly unreasonable. For example, where an individual continues to raise the same issues that have previously been the subject of formal management and appeal processes.

5. DUTIES

5.1 Chief Executive

The Chief Executive is accountable for ensuring the proper application of the policy through appropriate management arrangements.

5.2 Directors

All Directors have a corporate responsibility to provide a safe working environment. Directors are responsible for exercising the Trust’s duty of care and shall ensure

adequate arrangements are in place via their designated deputies for implementing this policy.


5.3 Assistant Directors / Team Leads / Senior Managers / Heads of Department They are responsible for ensuring that Local Managers and other managerial/supervisory staff aware of their own responsibility within their managed areas.

5.4 Line Managers All managers have a responsibility to implement this policy and to bring it to the attention of staff in their work area. In order to establish and maintain a safe and effective work environment, they must: • treat a grievance seriously and deal with it promptly and confidentially, giving

the Individual raising the grievance full support during the whole process • consult with their People & OD contact at any time for advice and support.

5.5 Affected / Involved Employee

Staff will raise a grievance as soon as possible and seek to resolve the grievance as locally as possible. Staff involved in any part of the grievance process, for example as a witness, will operate within the Grievance Policy and be co- operative in resolving any grievances in accordance with the agreed procedure.

Staff can also contact:

their Workforce Business Partnering (WBP) contact their union representative the Trust’s Employee Assistance Programme (EAP) confidential helpline (contact details in section 5.8)

5.6 Workforce Directorate - (WBP)

The Workforce Business Partnering team has a responsibility to ensure that the policy is followed, fairly and consistently. Their duties will involve: • advising managers on the application of the policy • ensuring the effective implementation of the policy • reviewing and amending the policy as necessary.

5.7 Occupational Health and Well Being

Any employee who is involved in an investigation under this policy may find it helpful to talk to the Occupational Health service. Referral may be made by the line manager, but alternatively, all staff have a right to self-refer into occupational health.

5.8 Employee Assistance Programme

The Trust provides an external confidential service for employees and their immediate families, via PPC Worldwide who offer expert advice, invaluable information and can offer specialist counseling of up to 6 free sessions and support.


This service is available 24 hours a day, 7 days a week, online or on the phone. Contact 0800 282193 or www.ppconline.info – click ‘My Services’ for a guide to the free advice, support and information available. Minicom users call 0800 0854739.

5.9 Trade Unions

The Trust recognises the important role trade unions play in supporting staff who are party to a grievance. Representatives will give advice to their members in accordance with this Policy and Procedure.

6. PRINCIPLES UNDERLYING THE GRIEVANCE POLICY AND PROCEDURE

6.1 The procedure is divided into three stages. The following are points of general application:

6.1.1 Arranging Meetings/Hearings

6.1.2 The Trust will arrange meetings/hearings with employees and any

representatives under the Grievance Procedure on mutually convenient dates and at a reasonable place and time.

6.1.3 Where a meeting/hearing has been arranged and, for a reason that was not

foreseeable at the time it was arranged, it is not reasonably practicable for: • the employee to attend – then the meeting/hearing will be rearranged on

another mutually convenient date. • the employee’s representative to attend, but the employee’s representative is

able to propose a reasonable alternative time within five working days – then the meeting/hearing will be rearranged at the time proposed.

• the management side to attend – then the meeting/hearing will be rearranged on another mutually convenient date.

6.1.4 The Trust will only be obliged to rearrange meetings/hearings once, but may at its

discretion agree to rearrange meetings/hearings more than once, particularly where the reason for the rearrangement is that the management or staff side cannot attend.

6.1.5 Where a meeting/hearing has been arranged, but the employee fails to attend and

does not provide any good reason for failing to attend within a reasonable period after the meeting/hearing, or where the Trust has decided not to rearrange a meeting/hearing a second time, the Trust may make a decision in the employee’s absence and continue with this procedure.

http://www.ppconline.info/


6.2 The Role of Informal Discussion

6.2.1 Employees are encouraged to attempt to deal with concerns informally with their Line Manager or Supervisor in the first instance. Line managers must deal promptly with informal issues raised by their staff or their representative and should be providing a response within 5 working days of discussing with an employee. In such circumstances there should normally be evidence of an informal attempt(s) at resolving differences.

If the employee is not satisfied with the outcome but feels that the matter could still be potentially resolved informally then they may ask the manager for further discussion. Alternatively, they may feel that a facilitated conversation or mediation might be useful (see separate sections) . If the employee feels that neither of these routes would be helpful then they have the right to proceed to the Formal Stages of this procedure, as described from section 8.

6.3 Recording of Grievances and Resultant Outcomes

6.3.1 It is anticipated that the majority of grievances should be resolved informally, in discussion with the employee’s immediate line manager. Both manager and employee and local representative, if involved at this stage, may find it helpful to retain an agreed record of such a meeting. Consideration may be given to use of the mediation process at this stage (see appendix 6).

6.3.2 At each stage of the formal procedure the manager concerned shall make

records and produce a written response within the agreed timescales.

6.4 Representation

6.4.1 Employees are statutorily entitled to elect to be represented by either a Trade Union representative or to be accompanied and supported by a work colleague (at their own choice) at all stages of the procedure. Solicitors or any person acting in a legal capacity will not be permitted to attend the proceedings.

6.5 Application of Step 2 and Step 3

6.5.1 There are a number of levels of management referred to in the procedure: the identification of the appropriate manager at each stage will be for local decision, taking into account the management arrangements in that Directorate or service, as guided by appendix 3.

6.6 Continuation of Existing Management Arrangements


6.6.1 The established working and management arrangements which applied before

the grievance arose shall continue to operate where possible until the agreed procedures have been exhausted, always providing that in doing so there is no breach of the Trust’s legal obligations or danger to staff, patients or public.

6.7 Where this procedure does not apply

6.7.1 Other than those circumstances described in 3.5 and 3.7 above, this procedure will not apply where: • the grievance is of a collective nature, i.e. it is raised by a recognised Trade

Union on behalf of two or more employees sharing a common issue, and the Union elects to raise it under the Trust’s Collective Disputes Procedure;

or • A formal dispute is raised by a recognised Trade Union, (a dispute can be raised

by any recognised union where there is a concern in connection with the employer’s general conduct of employee relations), and the Trust’s Collective Disputes Procedure will apply.

7. FACILITATED CONVERSATION OR MEDIATION

7.1 Facilitated Conversations

A facilitated conversation is an informal process where, with the consent of the parties concerned, a representative from the WBP team and the employee’s representative will work together to facilitate a full and frank discussion, between the parties, with the aim of trying to reach a satisfactory and constructive resolution to the problem. Not all grievances are suitable for this approach but in some circumstances they may provide a useful format for progressing a grievance without the necessity of a full formal hearing. Where this approach has been used and has not been a success it will be deemed to have fulfilled the criteria of all, or part, of the informal stages and the employee will still retain the right to move to a formal grievance.

The Manager receiving the Grievance against an individual (as opposed to one involving process/procedures etc.) should let the relevant Manager know. Early consideration should also be given as to whether the issues raised would be more appropriately dealt with through the Trust Policy on Dignity and Respect at Work.


7.2 Mediation

7.2.1 An independent third party (mediator) can sometimes help resolve some elements of grievance issues. The Trust has a number of staff who are specially trained to provide mediation.

7.2.2 Not all grievance or potential grievance situations are suitable for mediation but it

can sometimes be helpful. For instance, where the boundaries between

disciplinary and grievance/dispute issues have become blurred as this may sometimes indicate an underlying breakdown in the working relationship between two parties owing to personality clashes or communication problems and where other informal routes, such as facilitated conversation, have already not proved successful.

7.2.3 Mediation is a voluntary process where a mediator (or more than one mediator) helps two or more people who are in dispute to attempt to reach an agreement. It is important to note that any agreement is reached by the people who are in dispute and not by the mediator. The mediator is not there to judge or to tell either party what they should do, or to determine who is right or wrong. The mediator can only control the process of seeking resolution to a problem but not the outcome and there can be no guarantee that any specific outcome will be achieved.

7.2.4 Mediation may not be suitable or successful if both parties are not committed to

entering into mediation with a view to achieving a constructive outcome or if it is used by either party to avoid or delay another more appropriate process, such as the investigation of a claim of harassment, or a disciplinary allegation with no related grievance issues, or the move to a formal grievance hearing. In these instances, the organization will not support the use of mediation.

7.2.5 Mediators are specially trained and may come from within the Trust or from an

external mediation services provider. Normally any formal internal process, such as a disciplinary or grievance, is put on hold whilst mediation of any relevant issues are explored but if mediation fails to fully resolve all the issues, then the formal processes will be resumed. It may also be suitable to use mediation to address grievance issues whilst separately continuing to pursue a disciplinary case.

7.2.6 The suggestion of considering mediation may be raised by any party involved in

a grievance process but, as it is a voluntary process, both the individual raising a grievance and the person who the grievance is raised against must agree to its use and jointly request the organisation to explore the possibility of engaging mediation services.

7.2.7 External mediation services are not free so the final decision on whether or not the

use of such services is likely to be sufficiently beneficial will be made by a Director of the organisation who must first take into account, and pay due regard to, all the


known circumstances of the case and what other mechanisms have already been explored to achieve a constructive outcome.

8. GRIEVANCE PROCEDURE - STEP ONE

The employee informs the Trust of the grievance in writing:

8.1 A grievance shall be raised in writing using the Trust’s approved form (appendix 2) by the employee directly concerned, or by a representative acting on his/her behalf, and must be referred to the immediate line manager or supervisor.

8.2 If the grievance is against the decision of the line manager or supervisor, the

employee should approach that person’s manager or another manager in the Trust in accordance with Appendix 3.

9. GRIEVANCE PROCEDURE STEP TWO

Discussion and resolution of the grievance:

9.1 The manager dealing with the grievance must decide on whether an investigation is necessary and if so, take appropriate steps to investigate the grievance (see section 9.3). In a small number of cases it may be appropriate to appoint an investigator, interview witnesses and/or prepare an investigatory report. In the majority of cases a meeting with the employee and their representative, if required, may be sufficient. Managers are encouraged to seek advice from the Workforce Business Partnering Team at an early stage in making this decision and carrying out investigations.

9.2 If no investigation is deemed necessary, the manager must invite the employee to

a meeting/hearing to discuss the grievance and this should normally take place within 10 working days of receiving the written grievance, provided all parties are at work throughout this period. The meeting/hearing must not be delayed unnecessarily, but the manager should look into the background of the grievance and consider what action may have been taken in similar cases. The meeting/hearing must be at a reasonable place and time, and the employee has a duty to attend. The employee has the right to be accompanied at this meeting by a trade union representative or a work colleague employed by the Trust. (See Appendix 5 for letter inviting employee to meeting). A Workforce Business Partnering representative must be present at this meeting/hearing. The manager may also wish to involve any other manager concerned. The manager shall make records of the meeting/hearing and produce a written response to the employee, within 5 working days of the meeting/hearing, indicating the reasons for upholding or rejecting the grievance and recording any agreement reached or actions taken, and details of how to appeal against the decision, should the employee believe that the matter has not been resolved to his or her satisfaction (letter at Appendix 6). If the grievance is resolved at this stage, the matter ends.


9.3 If an investigation is necessary, the manager will appoint an investigator who will arrange a meeting with the employee in the first instance, quickly followed by meetings with any other witness or persons able to contribute to resolving the issue. The investigator should be aware that, in order to avoid the grievance from escalating to an external process, that their final report to the commissioning manager should be available within 15 working days from the start of their investigation, provided all parties are available to attend the investigation meetings and no new evidence is produced requiring further investigation. Managers are expected to co-operate by releasing staff to attend these interviews. (See Appendix 4 for letter)

9.4 When the investigator’s report is submitted to the manager a meeting/ hearing will

be convened with the employee, their trade union representative or work colleague employed by the Trust and a member of the Workforce Business Partnering in attendance. The investigating officer will attend the meeting/hearing to respond to questions from all parties. Convening this meeting/hearing may add up to 10 additional working days to the process.

9.5 The manager shall make records of the meeting/hearing and produce a written

response to the employee, within 5 working days of the meeting/hearing, indicating the reasons for upholding or rejecting the grievance and recording any agreement reached or actions taken, and details of how to appeal against the decision, should the employee believe that the matter has not been resolved to his or her satisfaction (letter at appendix 6). If the grievance is resolved at this stage, the matter ends.

10. GRIEVANCE PROCEDURE STEP THREE

Appeal Stage

10.1 The employee or his/her representative may refer the matter to Appeal Stage by writing to the Executive Director of Workforce, within 10 working days following the date of receipt of the decision letter. A r e p r e s e n t a t i v e o f Workforce Business Partnering will acknowledge receipt of the appeal within 5 working days. The Workforce Business Partnering function will then ask an appropriate manager plus an appropriate trade union representative to hear the appeal with a representative of Workforce Business Partnering present and a professional adviser (if applicable) (in accordance with Appendix 2). Employees will be invited to present their case at a grievance hearing.

10.2 The Appeal Hearing will be held on a date convenient for all parties and normally

within 15 working days of the date of the acknowledgement letter, subject to operational availability of the key parties. The reason for any unreasonable delay must be recorded in the correspondence with the employee. The employee has


a duty to attend the Hearing and has the right to be represented at this hearing by a trade union representative or accompanied by a work colleague employed by the Trust.

10.3 At the hearing, the employee and his/her representative will be given the opportunity to present the case. The manager who previously considered the grievance and other managers concerned may also be requested to attend the meeting to present their case. The manager chairing the appeal will adjourn to make a decision.

10.4 The decision will be recorded in writing indicating the reason(s) for upholding or

rejecting the appeal and recording any agreement reached. A copy of this will be passed to both the line manager and the employee concerned within 5 working days of the hearing.

10.5 The decision made at this stage will be final.

11. PROCESS WHEN AN EMPLOYEE HAS LEFT THE TRUST PRIOR TO RESOLVING A GRIEVANCE

11.1 Under current employment legislation, the Trust is not obligated to consider

grievances raised subsequent to an employee leaving the Trust.

11.2 However, the Trust acknowledges that it is important to address any issues relating to the workplace that could contribute to malpractice, stress or bad working practices. Therefore the Trust will employ the following process for these situations:

1. The ex-employee sends written confirmation to the Executive Director of Workforce that they wish to pursue a formal complaint; 2. The Trust will investigate the concerns and respond within 30 working days of receipt of the confirmation letter giving responses to the points raised.

12. ROLE OF THE LOCAL COUNTER FRAUD SPECIALIST (LCFS)

12.1 Any grievance that may potentially concern any form of fraudulent activity will be referred to the LCFS for further advice and, where applicable, investigation.

12.2 Anyone who suspects that any form of fraud may be a part of a grievance issue is urged to consult the Workforce Business Partnering Team for the contact details of the NHS Fraud investigator.


12.3 If staff wish to report any suspicions or concerns and feel that it cannot be done internally, they can contact the NHS Fraud and Corruption Reporting Line on 0800 028 40 60 (Monday – Friday 0800 – 1800).

13. MONITORING COMPLIANCE AND EFFECTIVENESS

13.1 This policy has been approved by the policy sub-group of the Joint Staff

Committee and has been ratified by the Joint Staff Committee. In doing so due regard has been taken to ensure that the design and implementation of the policy and processes meets the diverse needs of our service, population and workforce, ensuring that none are placed at a disadvantage over others.

14. DISSEMINATION AND IMPLEMENTATION 14.1 This policy will be distributed via the Trust’s Intranet and on the Trust’s public

Internet site and its existence, and any subsequent revisions, will be brought to staff’s attention via staff publications such as Trust Matters and ‘In the Know’.

15. REVIEW PLAN 15.1 The Joint Staff Committee has responsibility for reviewing this document no later

than the review date stated on the front cover, or earlier if changes to employment legislation or practice occur or circumstances within the Trust dictate.

16. ASSOCIATED TRUST DOCUMENTATION

Health and Safety at Work Policy

Management of Organisational Change Policy

Sickness Absence Policy

Stress Policy

Capability Policy and Procedure

Disciplinary Policy and Procedure


SIMPLIFIED FLOWCHARTS OF GRIEVANCE PROCEDURE APPENDIX 1

Flow Chart One Settling Grievances Informally

Member of staff has a work related issue that he/she is concerned or aggrieved about

Employee discusses the issue informally with their manager. The manager must reply within 5 working days

Issue resolved?

NO

YES

Issue resolved informally, no further action required under

this policy Employee may opt to follow one of three

main routes:-

Proceed to Formal Grievance

(See Flow Chart Two)

Opt to discuss the matter informally again with the

manager

Request a facilitated conversation or mediation

Issue resolved?

NO

YES

NO YES

Issue resolved?

Issue resolved no further action required under this

policy

Employee may still request a facilitated conversation/mediation or proceed to a formal grievance.

Proceed to Formal Grievance

(See Flow Chart Two)

Either


SIMPLIFIED FLOW CHART OF GRIEVANCE PROCEDURE APPENDIX 1 Flow Chart Two Setting Grievance Formally

The employee commences a formal grievance by completing a Grievance Form and passing it to their manager or supervisor. A meeting will be set up within 15 working days unless a dull investigation is required. An outcome will be communicated within 5 working days of the meeting.

Issue resolved? YES

Issue resolved no further action required under this policy

NO

YES

Written appeal must be received by the Director of POD within 11 days of the date of the written outcome. Employee will receive acknowledgement letter within 5 working days.

Grievance Appeal Hearing to be convened within 15 working days of acknowledgement letter. Outcome communicated to employee within 5 working days of the Appeal hearing.

End of internal process. No further right of appeal under this policy.

Issue resolved?

NO

YES


GRIEVANCE PROCEDURE APPENDIX 2

FORM FOR THE RECORDING OF GRIEVANCES

Use of this form is encouraged but not an absolute requirement. Individual employees or a group of employees and/or their staff representatives may choose to use it to raise a formal grievance. Alternatively, a written grievance may be raised in another form. On completion the grievance should be provided to the employee’s line manager or, in cases where the grievance is against the Line Manager, to that person’s line manager (refer to Appendix 2). Additional sheets may be attached if required.

1. PARTIES TO THE GRIEVANCE Please state the name(s) of those involved in raising this grievance and also of any representative(s).

NB. In the event of a collective grievance the Trust may ask for information on the numbers of staff and staff groups involved.

2. COMMUNICATIONS

Please state the name and address of the person nominated as the point of contact for further communication.

Please identify any dates when you or your representative is not available to meet to discuss the grievance. NB The first meeting/hearing should be held within 15 working days of receipt of this form unless key parties are unavailable.



3. THE GRIEVANCE

Please describe the nature of the grievance in as much detail as necessary to assist the manager(s) concerned to reach a resolution, continuing on a separate sheet if necessary.

4. OUTCOME OR REMEDY SOUGHT

5. ORIGINATOR (This will normally be the employee unless in the event of a collective grievance)

Signature _________________________Print Name __________________________________

Dept/OR Staff Side Representative____________________________________________

Post/Title ____________________________________________ Date _____________________

6. RECEIVING MANAGER

Signature _________________________Print Name _____________________________________

Dept/ ____________________________________________

Post/Title ____________________________________________ Date ______________________


Appendix 3

LEVELS OF MANAGEMENT FOR EACH STAGE OF GRIEVANCE

Employee

Formal Grievance Hearing

Appeal Stage

Consult

Executive Director

Chief Executive

Trust Chairman

Exec Director of Workforce

Clinical Director/ Corporate Director/ Medical Director

Chief Executive or Chief Operating Officer

Trust Chairman or Chief Executive

Exec Director of Workforce

Consultant/Associate Specialist/Staff Grade / Specialty Doctors

Clinical Director

Medical Director

Medical HR Manager

Service Manager

Clinical Director

Chief Operating Officer or Director of Nursing

Assistant Workforce Director

Asst Director, Finance, WBP, Estates etc of Corporate Directorates

Relevant Corporate Director

Executive Director of Corporate Development

Assistant HR Director or Workforce Director

Other Senior Managers or Asst Directors reporting to Clinical Directors

Clinical Director

Chief Operating Officer or Director of Nursing

Assistant Workforce Director

ST4-6’s, ST1-3’s and all other medical staff not separately mentioned

Associate Medical Director

Medical Director

Medical HR Manager

All other employees

Line Manager

Service Manager or Assistant Director

Workforce Manager or Business Partner


GRIEVANCE Invitation to meeting with investigator Appendix 4

Our ref: Office Address Date:

PERSONAL AND CONFIDENTIAL [Name] Phone no: [Home Address] Fax No: E-mail ………..

Dear Mr/Mrs/Miss/Ms/Dr [Surname]

Grievance

Further to your recent submission of a grievance relating to [insert what grievance is], I am writing to advise you that I have asked (insert name, job title of investigator) to investigate your grievance and report back to me. I shall then convene a meeting to discuss your grievance in accordance with the Trust’s Grievance Procedure.

You are required to make every effort to attend the meeting with the investigator who will contact you with the arrangements including date, time and venue.

You have the right to be represented at the meeting by a trade union representative or accompanied by a work colleague employed by the Trust.

The issues to be discussed at the grievance meeting are as follows:

• [insert points raised by grievance]

Yours sincerely

Line Manager’s name Job Title


GRIEVANCE INVITE TO MEETING/HEARING Appendix 5


PERSONAL AND CONFIDENTIAL [Name] Phone no: [Home Address] Fax No: E-mail ………..


Grievance

Further to your recent submission of a grievance relating to [insert what grievance is], I am writing to advise you that I have now received (name of investigator) report and a meeting/hearing has been arranged to discuss the grievance in accordance with the Trust’s Grievance Procedure.

You are required to make every effort to attend the meeting/hearing, which will take place on [full date] at [time] in [location]. In addition to myself, [Business Partnering representative name], [job title] will be present in accordance with the Grievance Procedure and [insert name, job title] will also attend to assist in our discussions as the investigator.

You have the right to be represented at the meeting/hearing by a trade union representative or accompanied by a work colleague employed by the Trust.

The issues to be discussed at the grievance meeting/hearing are as follows:

• [insert points raised by grievance]

Written confirmation of the outcome of your grievance will be sent to you within 5 working days of the grievance meeting/hearing.

Please confirm your attendance at the meeting/hearing with [name, telephone number] and if applicable, the name of the person you wish to bring with you.

Yours sincerely

Line Manager’s name Job Title


LETTER TO CONFIRM OUTCOME OF GRIEVANCE MEETING/HEARING


Phone No: …………….…… Fax No:……………………. E-mail ………………..…….

PERSONAL AND CONFIDENTIAL [Name] [Home Address]


Re: Grievance

Appendix 6

Further to our recent meeting/hearing to discuss your grievance, I am writing to advise you of my decision. I have [upheld / rejected * delete as appropriate] your grievance and would like to outline the reasons for this decision.

Supply detail

Should you believe that your grievance has not been satisfactorily resolved, you have the right to appeal in writing to the Director of People & OD within 11 working days of the date of this letter, detailing the reasons for your appeal.

Yours sincerely

Line Manager Job Title

Enclosed: Copy of original grievance submission CC: [Workforce Business Partnering Representative present at grievance meeting]


Appendix 7

Guidance on the Mediation Procedure

The role of the Mediator is to guide the complainant and the respondent through the process to help identify the real issues and come up with ideas to improve the situation.

Mediation is entirely voluntary and both sides must agree to the process before commencement. The mediator will explain the procedure to be followed and will meet the complainant and the respondent separately. Individuals may choose to bring a trades union representative or work colleague with them, but mediation often works best when those actually in conflict work directly with the mediator to resolve it, especially if individuals will need to work together in the future. Experience shows that the complainant is the best person to explain how they feel.

The Process

It is helpful for the mediator and will save time on the day, if both parties prepare a short list of the main things that have happened and what they need help in resolving.

The mediator will meet with each person separately. They will ask questions and use their experience in similar previous situations to make suggestions towards resolution. They will then meet with the respondent in a similar way. Both sides can talk to the mediator openly because the mediator will not pass on anything disclosed without the agreement of the individual.

The mediator will not insist that the complainant meets with the respondent if they are unwilling to do so. If they are ready to meet, they will agree some ground rules with both sides about how everyone will behave in the joint meeting and help everyone to achieve this.

An open and frank discussion of the issues, which is controlled by the mediator to ensure fairness and appropriate behaviour, can be key to sorting out difficulties at work, issues or conflict.

Anyone can ask for the joint meeting to be adjourned for a while, to speak on their own to the mediator or for them to simply recover composure.

Past experience indicates that people who use mediation report that it helps them in some way, even if total agreement is not reached.

Participants are asked to commit to what is agreed at the mediation meeting and details will be forwarded by the mediator to the line manager(s) and Workforce Business Partnering for information and preparation of an implementation plan if appropriate.

If mediation fails to achieve a satisfactory outcome or agreement, then recourse to the formal procedures of the Trust’s Grievance policy may be necessary.

Policy Subgroup


EQUAL OPPORTUNITIES MONITORING FORM

GRIEVANCE POLICY

The Trust acknowledges the right of all people to equality of opportunity. It is the policy of the Trust to ensure that no one is discriminated against on the grounds of their race, religion, sex, creed, colour, ethnic origin, marital status, disability, age or sexual orientation, nor disadvantaged by any conditions or requirements that cannot be shown to be justified.

The following questions are designed to help monitor any potential discrimination. Providing this information is very important. It is requested separately from the Grievance form to ensure confidentiality. Those involved in the Grievance process will NOT have sight of this information. It will be monitored by the Workforce Directorate. Please complete and return to Workforce Business Partnering team in BEH MHT in St Ann’s Hospital .

Name: Age in Years

Please indicate your gender Male/Female

Please indicate your ethnic origin

Ethnic origin does not mean nationality but is normally defined in relation to a people or

culture with which a person’s forebears are most strongly identified.

I most strongly identify with:-

White British Bangladeshi

White Irish Any Other Asian Background Any Other White Background Caribbean

White & Black Caribbean African White & Black African Any Other Black Background

White & Asian Chinese

Any Other Mixed background Any Other Ethnic Group Indian Pakistani

Marital Status

Single

Married

Divorced

Separated Widowed

I consider myself to be:- Disabled/Not Disabled


EQUALITY STATEMENT

Barnet, Enfield and Haringey NHS Trust aims to design and implement services, policies and measures that meet the diverse needs of our service, population and workforce, ensuring that none are placed at a disadvantage over others. It takes into account the Equality Act (2010) including the Human Rights Act 1998 and promotes equal opportunities for all. This document has been assessed to ensure that no employee receives less favourable treatment on the protected characteristics of their age, disability, sex (gender), gender reassignment, sexual orientation, marriage and civil partnership, race, religion or belief, pregnancy and maternity. Members of staff, volunteers or members of the public may request assistance with this policy if they have particular needs. If the member of staff has language difficulties and difficulty in understanding this policy, the use of an interpreter will be considered. Barnet, Enfield and Haringey Mental Health NHS Trust embraces the four staff pledges in the NHS Constitution Policy (copy and paste hyperlink below) this policy is consistent with these pledges. https://www.gov.uk/government/uploads/system/uploads/attachment_data/file/170656/NHS_Constitution.pdf The Trust is also committed to safeguarding and promoting the welfare of children, young people and vulnerable adults and expects all staff and volunteers to share this commitment.

CONSULTATION RECORD OF PROCEDURAL DOCUMENT FORM

Name and Title of Individual Date Consulted

Maria Gregoriou March 2015

Contributing Author/s:

Name of Committee Date of Committee

Policy Sub Group /Joint Sub Committee March 2015/April 2015

Version Control Summary

Version Date Section Author Comments

2.0 March 2012 All Joanne Amendment to policy to reflect current

employment practice and to ensure the

policy is fit for purpose for the merged

organisation.

3.0 March 2015 All Maria Gregoriou Amendments made to streamline policy.


EQUALITY IMPACT ASSESSMENT AND ANALYSIS FORM

1. Please indicate the expected impact of your proposal on people with protected characteristics

Characteristics (where relevant)

Significant +ve Some +ve Neutral Some -ve Significant -ve

Age: x

Disability: x

Ethnicity: x

Gender re-assignment: x

Religion/Belief: x

Sex (male or female) x

Sexual Orientation: x

Marriage and civil partnership x

Pregnancy and maternity x

The Trust is also concerned about key disadvantaged groups event though they are not protected by law

Substance mis-users x

The homeless x

The unemployed x

Part-time staff x

Please remember just because a policy or initiative applies to all, does not mean it will have an equal impact on all.

2. Consideration of available data, research and information.

Key questions (supports EDS Goals) Your Response

2.1 What evidence, data or information have you

considered to determine how this policy

contributes to delivering better health outcomes

for all?

Research by Carol Borrill & Michael West, Effective Human Resource Management & Lower Patient Mortality (http://www.astonod.com/wp-content/uploads/2015/01/Effective-HR-Management-Lower-Patient-Mortality.pdf) indicates The results from the research show a strong association between the sophistication and extensiveness of staff management practices in NHS hospitals and lower patient mortality it is reasonable to assume the general principle holds for mental health care too. Further research by the Aston Business School links fair treatment of BAME staff with better health outcomes J Dawson; 2009; Institute for Health Services Effectiveness, Aston Business School.



contributes to improving patient access and

experience?

This policy does not impact on patient access, and issues of patient

experience are same as above. There is general research which links the

treatment of service staff to the quality of service they provide.



contributes to delivering a representative and

well supported workforce?

There is evidence that women, BAME and staff with disabilities are more

likely to be subjected to performance management processes

Perceptions and prospects, diversity issues in local government

management 2004 IDeA and LRDL, and U Archibong, A Darr, The

Involvement of Black and Minority Ethnic Staff in Disciplinary

Proceedings, 2010. This policy is supported by training for managers to

make them aware of unconscious bias and how they can mitigate its

effects on their decisions.



contributes to inclusive leadership and

governance?

The policy does not impact on leadership or governance. The governance

of the policy conforms to the Trust’s equality and human rights policy.

http://www.astonod.com/wp-content/uploads/2015/01/Effective-HR-Management-Lower-Patient-Mortality.pdf




3. It is Trust policy that you explain your proposed development or change to people who might be affected by it, or their

representatives. Please outline how you plan to do this.

Group Methods of engagement

Joint Staff Committee (Staff side and

management representatives)

Discussion at meeting on 13 April 2015

4. Equality Impact Analysis Improvement Plan If your analysis indicates some negative impacts, please list actions that you plan to take as a result of this analysis to reduce those impacts, or rebalance opportunities. These actions should be based upon the analysis of data and engagement, any gaps in the data you have identified, and any steps you will be taking to address any negative impacts or remove barriers. The actions need to be built into your service planning framework. Actions/targets should be measurable, achievable, realistic and time framed.

Negative impacts identified Actions planned By who

Clarifying the limited protection for

staff with disabilities under the

equity act

Staff performance management training for managers included advise

Potential disproportional impacts

by gender, disability and ethnicity

The policy will be monitored for impacts on gender, disability and ethnicity to

reduce any disproportionate impacts

5. Sign off and publishing

Once you have completed this form, it needs to be ‘approved’ by Service Director, Clinical Director or an Executive Director or their nominated deputy. If this Equality Impact Analysis relates to a policy, procedure or protocol, please attach it to the policy and process it through the normal approval process. Following this sign off by the Policy Review and Monitoring Committee your policy and the associated EqIAn will be published by the Trust’s policy lead on the website. If your EqIAn related to a service development or business /financial plan or strategy, once your Director or the relevant committee has approved it please send a copy to the Equalities Team [email protected]), who will publish it on the Trust’s website. Keep a copy for your own records.

I have conducted this equality Impact analysis in line with Trust guidance

Your name: Position:

Maria Gregoriou Interim Head of Business Partnering

Signed: Date:

Approved by:

Your name: Position:

M\ark Vaughan Executive Director of Workforce

Signed:

Date:

Documents

GRIEVANCE POLICY & PROCEDURE Us/Policies and procedures... · Grievance Policy (Version 3.0) March 2015 1 GRIEVANCE POLICY & PROCEDURE Version: 3.0 Policy Number: Workforce 28 Policy