GRIEVANCE PROCEDURE

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1.1

Scope of the Procedure

This document sets out the procedure which an individual employee, or group of employees acting jointly on the same grounds, should follow when wishing to seek redress of any grievance directly related to their employment. The Procedure enables employees to raise issues of concern with management about employment issues relating to their work. The Procedure applies to all staff of the University except senior postholders (as defined in the Articles of Government), for whom separate arrangements apply. This Procedure is not intended to deal with issues which are dealt with in separate procedures including: Harassment/Bullying Disciplinary matters Disputes which are appropriately dealt with through the established employment relations machinery Grade or remuneration where this is established through job evaluation Where the employee makes a protected disclosure within the meaning of the Public Interest Disclosure Act 1998.

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1.3

The Procedure is not to be invoked to obstruct or interrupt the operation of the Disciplinary Procedure or other complaints procedures and does not apply to matters which are normally subject to collective agreements or University policy. The only exception is where the interpretation or the application of an agreement or policy is of issue. Any such matters should be referred to Human Resources for advice. Section 9 applies to grievances raised by former employees and situations where the employment terminates whilst a grievance is underway.

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2.1

General Principles
This Procedure applies to individual employees as well as to grievances of a collective nature. The term complainant is used to refer to an employee who has raised a grievance. The relevant person refers to an appropriate person who has the authority to address the grievance at the appropriate stage. At the informal stage and the first formal stage, this will normally be the employees supervisor or line manager. Grievances should normally be dealt with within the management line. However, it is recognised that in order to make best efforts to resolve a grievance it may be appropriate in particular circumstances to go outside the management line. The complainant and any person against whom a grievance has been raised, has the right at each formal stage of the procedure to be accompanied and represented by either a full-time Trade Union officer, a Trade Union representative (who is an employee of the University) or a fellow employee.

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2.6

All matters of grievance must be raised, initially informally, within ten working days of the complainant becoming aware of the matter giving rise to the grievance. For clarification, this may include from the date of the latest in a series of incidents/issues, that caused the employee to raise a grievance. In some cases, where the grievance is first heard at a senior level, three formal stages may not be possible. In these circumstances, where the complainant is not satisfied with the outcome of a first formal stage, at least one further stage is permissible. To assist in this, this may be heard by a senior person at the same level as at the previous stage. Timescales have been fixed to ensure that grievances are dealt with quickly. However these may be extended if agreed by both parties, or in exceptional circumstances, at the direction of Human Resources, following consultation with the appropriate representative. It is not appropriate to call witnesses although they may be referred to in the submission and at the meeting or by the submission of witness statements. Witnesses may be named but it is for the witness to determine as to whether or not they give evidence. The person naming a witness should ideally seek the permission of the witness in advance and clearly this would be necessary to enable a witness statement to be submitted. The relevant person should ensure that any witness is fully aware of the process including that any information provided will be given to the other party and that confidentiality may not be maintained.

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2.8

2.9

2.10 The complainant and any person(s) named can also specify (and submit as necessary) new information and/or evidence that for good reason was not available at the previous stage. It is for the relevant person, advised by Human Resources, to determine whether or not it should be admissible. 2.11 Members of staff from Human Resources may act in an advisory capacity to any party on the application of the procedure and/or as an independent facilitator, and may take an active part in the proceedings to assist in the establishment of the facts. Possible conflicts of interest will be avoided. 2.12 Human Resources has responsibility, on behalf of the University, for the interpretation and application of this procedure. Matters of uncertainty and/or issues of clarification will be determined by Human Resources. This will include determination of the relevant person at each stage, where this is in doubt. 2.13 The formal grievance file will be made available to the relevant person at each stage. 2.14 An employee wishing to withdraw a formal grievance must do so in writing to the relevant person.

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3.1

Informal Stage
Both management and the complainant must attempt to resolve difficulties through informal discussion. The complainant must therefore discuss it in the first instance with a relevant person. The relevant person may seek advice from Human Resources as necessary. At this informal stage the relevant person and the complainant should seek to agree the means by which the grievance can be resolved. 2

3.2

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3.3

If the grievance is not resolved informally and the complainant wishes to pursue the matter further, the formal procedure described below must be followed. In order to progress the grievance as quickly as possible, where the complainant wishes to pursue the matter formally, they must do so within 10 working days of the informal process coming to an end. For the avoidance of doubt, either the complainant or the relevant person can determine when the informal process has come to an end, although every effort should be made to do so jointly.

3.4

Formal Stage 1

(See also Section 7 Conduct of a Grievance) 4.1 The complainant should set out the substance of the grievance on the grievance form which should be submitted, along with any relevant documentation, to the relevant person. The detail should be sufficient to enable the person(s) named to respond and should include a clear description of the issue(s) as well as dates and/or times as appropriate. Following receipt of the grievance form the relevant person should convene a formal meeting with the complainant and their representative within ten working days. The purpose of the meeting and any associated investigation will be to consider the grievance. The relevant person will formally respond to the complainant and their representative and the person(s) against whom the grievance has been made by completing the appropriate section of the grievance form, not later than five working days after the completion of the investigation.

4.2

4.3

Formal Stage 2

(See also Section 7 Conduct of a Grievance) 5.1 If the complainant is dissatisfied with the outcome of Stage 1 they should send the grievance form indicating clearly their reasons for taking the grievance to the next stage, and, along with any new information and/or evidence, (in accordance with 2.10), to the relevant person authorised to hear Stage 2 of the grievance. They must do so within five working days of the receipt of the formal notification of the Stage 1 decision. The relevant person at the previous stage will be informed that the grievance has been taken further. A meeting will be convened not later than ten working days following receipt of the grievance form. The purpose of the meeting and any further investigation will be to consider the grievance including any new information and/or evidence that for good reason was not submitted at the previous stage. The relevant person will formally respond to the complainant and their representative and the person(s) against whom a grievance has been made by completing the appropriate section of the grievance form not later than five working days after the completion of the investigation.

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5.3

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Formal Stage 3

(See also Section 7 Conduct of a Grievance) 6.1 If the complainant is still dissatisfied, they should send the grievance form indicating clearly their reasons for taking the grievance to the next stage, and, along with any new information and/or evidence, (in accordance with 2.10), to the Director of Human Resources. They must do so within five working days of the receipt of the formal notification of the Stage 2 decision. The relevant person at the previous stage will be informed that the grievance has been taken further. At this stage the grievance will be heard by the Vice-Chancellor (the relevant person) or nominee who will convene a meeting not later than fifteen working days following receipt of the formal grievance. The purpose of the meeting and any further investigation will be to consider the grievance including any new information and/or evidence that for good reason was not submitted at the previous stage. The Vice-Chancellor/nominee will formally respond to the complainant and their representative and the person(s) against whom the grievance has been made by completing the appropriate section of the grievance form not later than five working days after the completion of the investigation. There are no further stages within this Procedure.

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7.1

Conduct of a Grievance
On receipt of the formal grievance the relevant person will convene a meeting with the complainant and their representative in accordance with the timescales prescribed. Any person(s) against whom a formal grievance has been raised will be sent a copy of the grievance form and all associated documents and will receive a copy of the response. The relevant person will arrange to meet them separately after seeing the complainant and any others as appropriate, to discuss the grievance. The complainant will present their case. The relevant person will ask questions and seek clarification through the meeting. At the conclusion of the meeting (or as soon as possible thereafter) the relevant person will inform the complainant of the likely completion date of the investigation. The timescales referred to at each stage relate to the actual completion date. It is important to highlight that this is an investigative process and should not be adversarial in nature. It is not intended that the complainant and any person(s) named in the grievance be present at the same meeting, except as an option at the informal stage. As part of the investigative process the relevant person will determine who else to speak to in order to establish the facts. This may include named witnesses and others as referred to by the complainant and/or the person(s) against whom the grievance has been raised, as well as the relevant person(s) from the previous stage(s).

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7.7

Where there is a difference of opinion or conflicting views are expressed, (either between the complainant and/or person(s) named in the grievance, or others interviewed as part of the investigation) the relevant person may decide that it is appropriate to hold further discussions with the complainant and/or other person(s). The purpose of such further discussions is to ensure all parties have the opportunity to respond and to assist in the resolution of the grievance. It is for the relevant person(s) to determine the extent to which this is necessary. The grievance file (see also 2.13 and section 8) will pass from one stage to the next. The relevant person(s) will review the file and progress further the investigation and/or clarification of issues as necessary, with a view to resolving the grievance. It is not intended that the relevant person need necessarily repeat the same process as occurred at the previous stage. It may be the case for example that some facts have been clearly established or that some of the issues have been resolved or are no longer in contention.

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8.1 8.2

Confidentiality and Records

These proceedings are confidential to those involved. The grievance file will be the formal record. Once the grievance is complete, the file will be passed to Human Resources in order that relevant documentation is maintained. This will be kept for as long as deemed necessary and in accordance with data protection guidance. Normally this will be for six months. Human Resources will maintain a central secure record of all grievances raised to include: The name of the complainant The detail of the grievance (including dates) The process (including dates) The outcome

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8.4

No record will be kept on the complainants personal file as the record is kept as described at section 8.3. This information will be reviewed at an aggregate level at 12 monthly intervals in accordance with legislative requirements including the Race Relations (Amendment) Act. This will consider for example the number of grievances by type, Resource Centre, gender and ethnicity. The review outcomes will be made available to University management and the recognised Trade Unions to identify whether any matters of joint concern exist.

8.5

Post Termination

This section sets out the procedure to be followed when a grievance is received from a former employee (where the individual has already left the Universitys employment) and where a grievance is already in process when the employees date of termination of employment is determined. The latter may be as a result of a resignation by the employee or a dismissal. 9.1 A former employee wishing to raise a grievance with the University, should follow formal Stage 1 of the University Grievance Procedure as outlined in section 4 above. 5
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9.2

On completion of Stage 1, the relevant person will formally respond to the complainant (in accordance with 4.3) and will inform the complainant of their right of appeal. Where the complainant wishes to appeal, the appeal will be dealt with in accordance with formal Stage 2 of the University Grievance Procedure (section 5 above). Stage 3 of the University Grievance Procedure is not applicable in these circumstances. A former employee may be accompanied and represented in accordance with section 2 (2.5), to include former work colleagues. Where an employee raises a grievance and then subsequently submits their notice of resignation or is subject to dismissal, the informal stage (section 3 above), formal Stage 1 (section 4 above), and formal Stage 2 (section 5 above) only will apply. If Stage 3 of the University Grievance Procedure has already commenced, the procedure will be terminated at that time. Where a decision to dismiss is overturned on appeal, and the matter of complaint is unrelated to the dismissal and has not been addressed during the appeal (see 9.7), Stage 3 of the University Grievance Procedure will be available. Where an employee wishes to raise matters related to the termination of their employment by the University, they should do so through the relevant appeal process.

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Leeds Metropolitan University Employee Grievance Procedure Form for use in the case of a formal grievance
(if there is insufficient space in any section, please continue on a separate sheet). Sections 1 and 2 to be completed by the Complainant(s)

1.

Complainant(s) Details Name(s) Department Location Job Title

2.

Details of the Alleged Grievance

Details of the alleged grievance (to include instances, names, relevant dates etc)

Signature(s) of Complainant(s) Date

Form submitted to Relevant Person on

(name) (date)

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Sections 3 and 4 below to be completed by the Relevant Person Formal Stage 1

3.

Name of Relevant Person Date of receipt of this form Formal meeting with complainant held on (date)

4.

Response to the Complainant(s) (to be issued within five working days following completion of the investigation

Signature of Relevant Person

Date

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Section 5 7 Formal Stage 2

Section 5 to be completed by the complainant(s) only in a case in which s/he are dissatisfied with the response from Formal Stage 1 as given by the Relevant Person To be submitted to the appropriate person within five working days of the receipt of the response from the previous stage.

5.

I/we wish to invoke Stage 2 of the Employee Grievance Procedure. Reason why.

Submitted to: (name) Signature(s) of Complainant(s) On: (date)

Section 6 and 7 below to be completed by the relevant person hearing the grievance

6.

Name of Relevant Person Date of receipt of this form Formal meeting with Complainant(s) held on (date)

7.

Response to the Complainant(s) (to be issued no later than five working days following completion of the investigation)

Signature of Relevant Person Date

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Section 8 10 Formal Stage 3

Section 8 To be completed by the Complainant(s) only in a case in which s/he are dissatisfied with the response from Formal Stage 2 To be submitted to the Director of Human Resources within five working days of the receipt of the response from previous stage. 8. I/we wish to invoke Stage 3 of the Employee Grievance Procedure. Reason why.

Signature(s) of Complainant(s) Submitted on (date)

Section 9 To be completed by the Relevant Person 9. Name of Relevant Person Date of receipt of this form Formal meeting with Complainant(s) Held on (date)

10.

Response to the Complainant (to be despatched no later than five working days following completion of the investigation

THIS DECISION IS FINAL Signature of the Vice-Chancellor/ Nominee Date 10

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