1.0        Introduction

1.1        The University aims to provide a welcoming and inclusive place to work for its employees.  However, within any organisation employees will, from time to time, have concerns, problems or complaints regarding their work, working conditions or their working relationships.  This policy and procedure outlines how the University can assist in resolving such issues.  

2.0        Purpose and Scope

2.1        The aim of this policy and procedure is to provide a fair and transparent process for employees (academic and support staff) to obtain timely resolution to concerns or problems relating to their employment.  This policy and procedure does not apply to other workers such as agency workers or contractors.  Unless it is clear there has been a major change in circumstances, the same grievance may not be raised more than once under this procedure.

3.0        Informal Resolution

3.1        It is hoped that most concerns or problems will be dealt with as they arise during regular dialogue between an employee and their line manager.  Employees are therefore strongly encouraged to seek to resolve any issues informally through discussion and normal management channels, at a local level.  The line manager will endeavour to resolve the matter speedily and fairly.  If the concern relates to the employee's line manager, the employee is encouraged to raise the matter informally with the next appropriate management level.  This should enable the matter to be resolved before it is escalated to a formal grievance.

3.2        Mediation

3.2.1     Mediation is a confidential and voluntary process whereby a neutral third party attempts to help the parties reach agreement in the event of conflicts and disputes. Both parties need to agree to mediation and it can be especially beneficial in problems associated with working relationships. 

3.3        Counselling

3.3.1     The Universities and Colleges Helpline provides access to 24 hour confidential counselling support, as well as information on a range of practical issues including family care, employment, legal, educational and health matters.  This service is available to staff and their immediate families.  http://www.wmin.ac.uk/page-19998

4.0        Key Principles

4.1        General

4.1.1     All genuine complaints and concerns raised by employees will be treated seriously and sensitively with proper investigation, proportionate to the issues raised, and carried out in as timely a manner as reasonably possible.

4.1.2     Employees raising complaints and concerns in good faith and those participating in any investigation into a grievance can do so without fear of detriment as a consequence.

4.1.3     Where the grievance has proceeded to a formal hearing, employees should regard the first hearing as the substantive hearing and as the best and most appropriate forum for their case to be heard.  Appeals will normally be restricted to matters of procedure or where there is fresh evidence which arose after the first hearing.

4.1.4     Subject to the terms of this policy, the Chair of the hearing or appeal has full discretion to give or make any directions, arrangements or decisions as he/she deem necessary for the prompt dealing with the grievance.

4.2        Confidentiality and Records

4.2.1     The grievance procedure will be carried out in confidence, unless otherwise agreed with the parties involved.  Some grievances may be of a sensitive or controversial nature and therefore a balance must be drawn between preserving confidentiality and the need for informed discussion on the issues raised. 

4.2.2     Electronic recordings are not permitted at any meetings or hearings under this procedure

4.2.3     Written grievances will be placed on the employee's HR file along with a record of any decisions taken and any notes or other documents compiled during the grievance process.

4.2.4     Grievance records will normally be treated as confidential and under principles set out in the Data Protection Act 1998.  However the University retains the authority to use grievance records as appropriate where it is necessary to address wider issues within the University or where formal action under the University's procedures becomes necessary for example; equal opportunities monitoring.

4.3        Right to be Accompanied

4.3.1     The employee who raises a grievance may be accompanied at any stage of the procedure by either a University colleague, or an official employed by a trade union recognised by the University, or another accredited trade union official.

4.3.2     The employee must advise the Chair who their chosen companion is, in good time before the meeting to enable the Chair to make a decision on the suitability of the companion, for example, if the Chair considers there may be a conflict of interest.

4.4        Roles and Responsibilities

4.4.1     The Employee should raise the concern or grievance with his/her line manager within a reasonable timeframe, clearly providing all relevant details and stating what he/she feels would be a desired outcome.  The employee must take all reasonable

steps to attend all meetings.

4.4.2     The Respondent is the employee whom the alleged complaint has been raised

against.  He/she must take all reasonable steps to attend all meetings.

4.4.3     The Chair hears the grievance or appeal and has the responsibility to deal with the

grievance promptly, fairly, impartially and consistently in accordance with this policy

and procedure.  The Chair of the grievance hearing will not Chair the appeal hearing.

4.4.4     The HR Representative provides impartial professional advice and guidance on the grievance procedure.

4.4.5     The Companion accompanying the employee at the meeting will be restricted to: 

putting the employee's case, summing up that case, and responding on the employee's behalf to any view expressed at the hearing, and conferring with the employee.

4.4.6     The companion does not have the right to answer questions directed to the employee.

4.4.7     During the meeting, the employee or the companion may ask for a short

adjournment to confer before resuming the meeting.

4.5        Collective Grievances

4.5.1     Where the same grievance involves more than one employee, the grievance will be

treated as a collective grievance.  The employees must nominate one group representative.  This group representative will act as the spokesperson for the group, will be the contact between the group and the manager hearing the grievance and will represent the group at the grievance hearing.

4.6        Bullying and Harassment

4.6.1     Any member of staff who feels that they have been the victim of bullying, harassment, discrimination or victimisation should, if at all possible, make clear (in person or in writing) to the individual that their behaviour is causing offence and that such behaviour is unacceptable.  However, if the member of staff feels unable to confront the person directly or if talking to them has no effect, then there are support measures available. 

4.6.2     Please refer to the Diversity and Dignity at Work and Study Policy for further guidance - http://www.wmin.ac.uk/page-439

4.7        Grievance and Disciplinary Action

4.7.1     If an employee raises a grievance during a disciplinary investigation and the grievance and disciplinary are related, it may be appropriate to deal with both cases concurrently. 

4.7.2     Where a grievance has been raised prior to the date of an incident or allegation that

is to be investigated under the Disciplinary Procedure, the grievance will normally be held first.  Exceptions may be where the disciplinary allegation is of a sufficiently serious nature to warrant suspension or dismissal or there is a health and safety risk.

4.7.3     The Grievance Procedure should not be used to complain about disciplinary or dismissal action.  If an employee is dissatisfied with any disciplinary action, they should submit an Appeal under the Disciplinary Procedure.

4.8        Grievances Raised in Bad Faith

4.8.1     One of the principles underlying this procedure is that grievances will be assumed, in the first instance, to have been made in good faith.  However, this may not always be the case.  Acting in bad faith, which includes raising false, frivolous, vexatious, malicious or capricious grievances, will be treated as an extremely serious matter and will normally lead to disciplinary action which could result in dismissal.  A complaint made as a means of detracting from proper management of performance, attendance or conduct will not be accepted and may be regarded as acting in bad faith.

5.0        Formal Grievance Procedure

5.1        Raising a Grievance

5.1.1     If informal methods fail to reach a satisfactory outcome, the employee can raise a formal grievance, and should do so without unreasonable delay.  

5.1.2     Formal Grievances must be raised in confidence with the employee's immediate line manager.  However, if the grievance involves the line manager it should be raised with the next appropriate level of management.  

5.1.3     Formal grievances must be raised in writing, ideally using the Statement of Grievance Form.  The grievance must be specific and include:  any relevant facts, dates and names of individuals involved; the steps the employee has taken to informally resolve the complaint; and the employee's desired outcome. 

5.1.4     The Respondent or Respondents are normally entitled to receive a copy of the Statement of Grievance Form, three working days prior to the Grievance Hearing. However, the Chair of the hearing has the discretion to decide if the Statement of Grievance form should be released to the Respondent(s) in full, or in part. The Chair of the Hearing may decide that the Statement of Grievance form must be kept confidential and should not to be released to the Respondent.

5.1.5     If the grievance submission does not make sufficiently clear what it is about, the employee will be asked to provide clarification before the procedure progresses any further.

5.2        Grievance Hearing

5.2.1     Every effort will be made to hear the grievance as soon as reasonably possible.  The University will aim to acknowledge the grievance as soon as reasonably possible and will normally aim to confirm the date of the formal grievance hearing within ten working days of receipt of the grievance.  The purpose of the grievance hearing is to enable the employee to provide full details of their grievance and for the facts to be established, as far as it is possible to do so.

5.2.2     The employee will receive in writing prior to the hearing the following information:

5.2.3     If an employee or their companion is unable, for good reason, to attend the hearing on the date proposed, the Chair will make arrangements for the hearing to be re-scheduled normally no later than five working days after the original date.  Due consideration will be given to the health of the employee in scheduling meetings.  If the chosen companion cannot attend on the rescheduled date the Chair may request the employee chooses a different companion.  If the employee or companion is persistently unable or unwilling to attend the hearing, unless there are exceptional circumstances (as decided by the Chair), the Chair will make a decision based on the evidence available.

5.2.4     The Respondent will be notified that a grievance has been raised against him/her and will be invited to a separate meeting to respond to the allegations and answer questions put to him/her by the Chair.  The Respondent will have the right to be accompanied at the meeting by either a University colleague, or an official employed by a trade union recognised by the University, or another accredited trade union official.

5.2.5     The Chair is responsible for approving all meeting notes.  Notes will be sent to the employee that attended the meeting (and the companion, if the employee requests this).  In the event that the employee does not agree with the final approved version of notes, they can lodge an amended copy with HR to be kept on file: however for all purposes the final Chair approved version of the notes prevails.

5.2.6     After the hearing, the Chair may decide to carry out further investigation, to establish the facts of the case.  This may include, where appropriate contacting other employees who have witnessed the incident or have been involved in the case.  In such cases it may be necessary to hold a further grievance hearing with the employee.

5.2.7     The Chair may appoint an Investigating Officer to carry out an investigation to establish the facts and/or timeline of events, prior to the hearing.  This investigation may involve interviewing and taking statements from the employee who has raised the grievance and any witnesses, and/or reviewing relevant documents.

5.2.8     If the employee wishes to call witness(s) to the hearing, the names and details of the witness(s), along with a written statement as to the nature and relevance of their evidence, will be sent to the Chair at least three working days prior to the hearing. The Chair of the hearing will then take a view as to whether he/she would benefit from hearing that witness, and whether his/her evidence is sufficiently relevant.  If the Chair decides they would benefit from seeing or hearing from the witness(s), the witness will be called to give evidence.  The employee or the employee's companion does not have the right to cross examine the witness(s).

5.2.9     If the employee wishes to submit further documentation, he/she must do so at least three working days prior to the hearing.

5.2.10    Once the Chair has considered all the evidence they deem appropriate, the outcome of the grievance will be communicated, in writing, usually within ten working days from completion of the hearing meeting.  If there is a delay in communicating the outcome, the employee will be notified in writing and advised of the revised timescale.

5.2.11    As a result of the grievance policy and procedure other policies or provisions may be recommended if appropriate for example, the disciplinary procedure, coaching or mediation.

5.3        Appeal

5.3.1     If the employee's grievance is not settled, to the employee's satisfaction, and he/she believes there are valid grounds, the employee has the right to appeal. 

5.3.2     The employee must send his/her notice of appeal to the Director of Human Resources within five working days from the date of the grievance outcome letter, ideally using the Grievance Appeal Form.  The grounds for appeal must include:

5.3.3     Every effort will be made to hear the grievance appeal as soon as reasonably

possible, and the University will normally aim to acknowledge the appeal and confirm the date of the formal appeal hearing within ten working days of receipt of the appeal.  The employee will be given the right to be accompanied at the appeal hearing and an HR representative will be present.  The appeal will be heard by another manager (nominated by HR) from outside the School or Department and not involved in the original grievance, as far as is reasonably practical.  HR will forward the grounds for appeal to the appointed Appeal Chair.

5.3.4     The Appeal Chair will set the date for the appeal hearing, and will expect the employee to make all reasonable efforts to attend at the date stipulated.  If the chosen companion of the employee has difficulty in attending the hearing on the date stipulated, the employee must inform the Chair of this, and he/she, in conjunction with the Director of Human Resources will cause the University to take such steps as may be appropriate to release that companion from such other responsibilities as may be causing him/her difficulty in attending the appeal on the stipulated date.  If this still fails to enable the companion to be available, the employee may request a postponement of up to five days, but must when doing so specify such times and dates in the following five days when both he/she and the companion are available, giving as many time slots as possible. The Chair has the authority to decide if there are any exceptional circumstances that should be considered before he/she makes a decision to agree to a postponement of the hearing on the basis of the employee's unavailability.

5.3.5     The appeal will ordinarily be conducted by way of a review of the decision not to uphold the grievance, as opposed to a rehearing.  That is, the appeal will involve a determination as to whether the decision not to uphold the grievance was one which a reasonable person could have made, on the basis of the evidence and arguments which were presented to that decision maker.  It will not normally involve a reconsideration of all of the issues in a case, or the presentation of new evidence or documents, or the submission of arguments which could have been but were not advanced previously.  The Appeal Chair will ordinarily expect to see only the employee and his/her companion, who may be either a workplace colleague or trade union representative.  Only in exceptional circumstance would the Appeal Chair be expected to call before them the decision maker or any other persons.  The appeal hearing will be conducted such as to allow the employee to develop orally his/her submissions, and to respond to queries which may be raised by the Appeal Chair.

5.3.6     In exceptional circumstances the Appeal Chair will determine that the appeal will be conducted as a rehearing,  Such decision will be entirely at the discretion of the Appeal Chair.

5.3.7     In exceptional circumstances, e.g. where new evidence has come to light, if the employee wishes to submit further documentation, he/she must do so at least three working days prior to the hearing. 

5.3.8     The Appeal Chair will make their decision as soon as reasonably practicable after the appeal hearing, and will communicate that decision in writing to the employee; their decision will be final.

6.0        Additional Help and Advice

6.1        If an employee or line manager requires additional help or advice on this policy or procedure they should contact a member of the HR Advisory Support Team or their Trade Union Representative.

7.0        Monitoring and Review

7.1        The Grievance Policy and Procedure was reviewed in March 2012, after consultation with the trade unions.

7.2        This procedure is not incorporated into the individual's contract of employment and it will be reviewed periodically to ensure it continues to reflect legislative changes and best practice.  Any further changes made will be subject to prior consultation with the University's recognised trade union representatives.

Approved by the Human Resources Committee on: 4 March 2012

Ratified by the Court of Governors on: 30 April 2012

Effective from: 1 May 2012

Review date: 1 May 2015