Grievance and dispute policy

1 Introduction

In accordance with the ACAS (Advisory, Conciliation and Arbitration Service) Code of Practice on disciplinary and grievance procedures as well as the Employment Rights Act 1996; Employment Relations Act 1999 and the Employment Act 2008, this procedure has been developed to provide an agreed means for colleagues, individually or collectively, to resolve grievances which affect the terms and conditions under which they work.

2 Purpose

This policy is intended to set out the process for colleagues to raise concerns, without fear of reprisal. This policy sets out how the trust will respond to those concerns with equity, with minimum delay and as near as possible to the point of origin before it becomes a significant issue. The policy supports both individual, and collective concerns.

The procedure (appendix A) is intended to provide colleagues, managers, and staff side with a clear mechanism whereby all colleagues can speak out and have their concerns explored.

3 Scope

This procedure covers all colleagues employed under a contract of employment by the trust and all questions which may become a source of grievance to the colleague including their job, conditions of service, banding or any other such matter which is within the trust’s authority to resolve. It is one of several policies and procedures designed to enable colleagues to raise concerns which they may have about their work.

This procedure must be considered when any concern is expressed, recommended in writing by a colleague, even where the primary purpose of the correspondence may not be to register that concern, or the concern is expressed in a letter of resignation The line manager must explore with the colleague to clarify if their concern should be addressed under this policy. If the concern is within a letter of resignation this clarity should be sought in a timely manner in order that the issue can be resolved prior to the end of the colleague’s notice period.

A grievance is a concern, problem, or complaint with the way an employee has been treated by the trust or managers acting on behalf of the trust. It covers actions and decisions taken which affect the employee including:

terms and conditions of employment
health and safety
working environment
breach of a trust policy

There are separate policies for dealing with other types of concern or complaint, including:

grading disputes
concerns of unacceptable behaviour or harassment
disagreement with the rationale for a change management process
conduct issues
performance issues

Such issues should be addressed through the correct trust policy, as appropriate. If you want to tell us something but are not sure which procedure to use, you should contact HR for advice.

Employees will have a responsibility to ensure that issues raised through this grievance procedure are reasonable and are done so within one month of the last occurrence identified. Grievances raised outside 1 month (of the last incident occurrence) will be considered as “exceptional circumstances”. Exceptional circumstances will be considered on a case-by-case situation by the directorate and will be dealt with sensitively.

4 Responsibilities, accountabilities and duties

4.1 Colleagues

Responsibilities for individual colleagues are:

to raise their grievance without unreasonable delay
wherever possible, seek to resolve their grievance informally
to attend any meeting(s) arranged to resolve their grievance with a companion as appropriate
to identify how they believe their grievance could be resolved if possible
to consider mediation as an agreed way forward

4.2 Line managers

It is the responsibility of line managers:

to fully understand and follow the process and timescales detailed within this policy
to deal promptly with any issues of concern raised by a member of their team
in the first instance to seek to resolve a colleague’s grievance informally, where possible
provide reasonable notification of meetings or hearings to allow individuals to arrange suitable representation
to explore with the affected colleagues whether mediation is a possible way forward
to be accountable in ensuring the policy is adhered to

Line managers are accountable if they do not:

apply the correct terms and conditions of employment in relation to their colleagues
act consistently in dealing with all grievance issues

It is the duty of the line manager to:

carry out any necessary investigations to establish the facts of the case
consult, as appropriate, with other members of management to find a satisfactory solution, such consultation is vital where a solution to the grievance may have implications for colleagues elsewhere in the trust or may establish precedence
to seek advice from a HR representative at all formal stages of the procedure

4.3 Human resources

It is the responsibility of the human resource department:

to offer training to line managers on the practical implementation of this policy
to advise on the consistent use of the policy
to accurately record grievances, and themes for monitoring purposes

The human resources department are accountable for updating this policy in line with good practice and employment legislation.

It is the duty of the human resource department to provide advice and guidance to managers and colleagues in the correct application of this policy and procedure.

Advice can be sought from the human resources department at any stage of this process.

5 The restorative and Just Culture

At RDaSH we embrace a just and learning culture by creating an environment where staff feel supported and empowered to learn when things do not go as expected, rather than feeling blamed. This is a culture that, in the case of an adverse event, instinctively asks “what was responsible, not who is responsible”.

The Just Culture, the culture of people and the quality we produce.

When things go wrong, we need to make sure that lessons are learnt, and things are improved. If we think something might go wrong, it’s important that we all feel able to speak up to stop potential harm. Even when things are good, but could be even better, we should feel able to say something and be confident that our suggestion will be used as an opportunity for improvement.

6 Confidentiality

Concerns raised by colleagues will be treated with respect and confidentiality. It should be recognised that it would be unrealistic to guarantee all concerns raised can remain entirely confidential. A colleague who is considering raising a concern should be aware they may be asked to present evidence to substantiate their concern.
The trust will do its utmost to ensure colleagues do not suffer because of raising a concern in good faith. If a colleague has made a request to protect their identity, but the situation arises where the trust is not able to resolve the concern without revealing the identity the matter will be discussed with the individual concerned to determine how the trust proceeds.

7 Investigations

On occasion, formal grievances may require an investigation. The hearing manager can adjourn the meeting to instigate any investigation that may be necessary, which will be completed without unnecessary delay. Whilst this policy enables the hearing manager to undertake investigations, the hearing manager may choose to appoint an impartial investigating officer to undertake the investigation.

The investigation should be completed within realistic timescales and these timescales should be agreed at the initial grievance hearing, or within a week after the hearing. If for any reason these timescales cannot be achieved, the colleague will be provided weekly progress updates so that expectations can be managed. Correspondence should be sent to the complainant confirming the scope of the investigation and anticipated timescales.

The investigation report template located at appendix B should be completed by the investigator upon completion of the investigation and shared with the claimant as part of the grievance outcome.

8 Procedure or implementation

8.1 Individual grievances

8.1.1 Stage one, informal resolution

Many problems can be resolved through discussions between the parties involved. It is in the interest of everyone to resolve grievances at the earliest opportunity through informal constructive and open discussions between the parties involved.

Where a colleague has an enquiry, problem or grievance concerned with their job, conditions of service or banding, this should, in the first instance, be raised with their immediate line manager to try to resolve the matter informally. Only in cases where the concerns are significantly serious or if the colleague is dissatisfied with the outcomes given at stage one should a grievance be raised at stage two, formal resolution. If the colleague’s grievance relates to their immediate line manager, they are encouraged to raise their concerns informally with the next level of management; if a colleague is unsure of whom this might be they are advised to contact the human resources department for advice.

The manager should seek to hold an informal meeting with the colleague to understand their concerns, allow the colleague to provide supporting evidence and discuss the impact it has had. Within this meeting the manager may be able to explore the reasons for the problem and work with the colleague on solutions.

Although this is not a formal meeting colleagues may bring a trade union representative or work colleague along for support if they wish, along with human resources if needed. A meeting should take place as soon as possible and not without unreasonable delay.

There may be times when informal fact-finding needs to be carried out, for example seeking advice from others or exploration of the problem; if this is the case a follow-up meeting with the colleague should be arranged to agree a solution. Whilst the grievance has been dealt with informally an Informal grievance resolution note detailing discussions and outcomes should be made and placed on the colleagues file (appendix C).

If through these discussions there is wider learning this should be shared, where appropriate. At the colleague’s management supervision session following the informal grievance meeting a review of the outcome should take place to ensure the resolution is satisfactory, if it is found not to have fully addressed the problem further exploration should be undertaken which wherever possible should be mutually agreed by both parties.

If the immediate manager feels the matter must be referred to a higher level of management for a decision this should be done at the informal stage.

Consideration should be given to the trust’s values with specific interest on stabilising the situation and establishing what all parties need during this process.

These options enable colleagues to be supported to resolve concerns without needing to go through a formal process. If the concern isn’t satisfactorily resolved at this stage, the colleague can request to progress to stage two, formal resolution using the concern notification form in appendix D.

Once the notification of formal grievance form is received, and before undertaking stage 2, formal resolution, a review will take place by the human resources department to ensure the informal process has been fully explored. As well as those detailed above, there are several options available within the trust to support the informal resolution, which includes:

informal meeting between individuals
informal discussion within department
informal meeting with management
mediation (using trained mediators)
facilitated conversations by a suitable trained person
coaching

For the informal stage to be explored fully, the learnings and recommendations from the informal stage are to be implemented for a minimum of 4 weeks before a colleague should escalate to the next stage should they remain aggrieved.

Matters concerning the calculation of pay or expenses should in the first instance be referred to the pay services department for resolution. The pay services department can be contacted via their dedicated mailbox at rdash.payservices@nhs.net.

8.1.2 Stage two, formal resolution

If it has not been possible to resolve a grievance informally, the colleague should set out the nature of their grievance formally in writing to their line manager or service manager utilising appendix D, notification of a formal grievance form. The colleague should then be provided a copy of the advice to colleagues document (appendix E).

There may be occasions where due to the nature of the original grievance it is lodged straight at stage two which will allow for the concerns to be extensively investigated. This will be completed by someone impartial who isn’t the direct line manager but may be someone of the same banding as the manager. This would occur following the conclusion of an initial fact find and it is identified, by the manager that none of the informal processes are appropriate.

The human resources department must be notified of any formal grievance raised and should be involved in any subsequent hearings’ meetings.

An appropriate manager, who has not previously been involved in the process, will be appointed to explore the grievance with the colleague and they will arrange a meeting as soon as possible and without unreasonable delay to discuss the issue, at which the colleague may be accompanied by a companion. The chosen companion may be a fellow worker, a trade union representative or an official employed by a trade union. The colleague will be given reasonable notice of the meeting. Guidance for preparing for and holding stage two hearings can be found in appendix F.

If the hearing manager cannot decide on an outcome at the hearing, there may be a requirement to undertake an investigation following the grievance hearing, refer to clause 7 for the investigation process.

Once an investigation has been completed, the hearing manager should reconvene the meeting. Following the reconvened hearing, the hearing manager shall provide a written outcome of the meeting within seven working days of the meeting concluding. If for any reason the timescales cannot be met, then the colleague and their representative should be given an interim response and reasons for the delay.

For the formal stage to be explored fully, where there are learnings and recommendations from the formal stage these should be trialled or implemented for a minimum of 6 to 8 weeks before a colleague should escalate to the next stage should they remain aggrieved.

If the colleague remains dissatisfied, they will have 21 calendar days from the end of the 6 to 8-week period to register an appeal.

8.1.3 Stage three, appeal

If the colleague remains aggrieved after the completion of the stage two process, they should register an appeal with a senior manager in accordance with the instructions given by the stage 2 manager, by completing appendix G. The senior manager hearing the appeal must not have been previously involved in any part of the concern.

The reasons for the appeal are to be made explicitly clear in the notification form. The colleague will be expected to clearly detail what aspects of the grievance remain outstanding from the previous stages. There is an expectation the colleague clearly details what a satisfactory resolution would be to conclude their grievance.

The senior manager will arrange a meeting without unreasonable delay of receipt of the appeal to consider the appeal.

Present at the appeal hearing will be the colleague, their representative if applicable, and the stage 2 panel who will provide a management statement of case into their findings and decision. If appropriate, witnesses may be called to the meeting.

The appeal panel will consider the evidence available and provide the colleague with an outcome. Ordinarily the appeal panel will review all information compiled as part of the stage one and stage two process prior to deciding. This does not prevent them from undertaking investigations if necessary. Whilst this would normally be undertaken by the appeal manager there may be instances where an impartial investigating officer is appointed. This will be considered on a case-by-case basis and discussed with all relevant parties. Investigations will only take place if the appeal panel considers the original investigation was unfair or not investigated thoroughly.

If further evidence is presented at the appeal stage which has not previously been considered, and is relevant to resolve the grievance, the meeting may be adjourned for further investigation. The meeting will be reconvened to discuss the findings of further investigation and to provide an outcome at the appeal stage. A written response will be sent within 7 calendar days on conclusion of the meeting or investigation. If for any reason the timescales cannot be met, then the colleague and their representative should be given an interim response, giving reasons for the delay. Refer to clause 7 regarding the investigations process.

The senior manager will decide on the appropriate outcome and will communicate this in writing to the colleague.

Within this policy senior manager refers to service managers, matrons, deputy care group directors, nurse directors, care group directors, care group medical director, care group director of allied professionals, heads of departments, directors, and chief executive.

There is no further right to appeal within the organisation after stage three.

8.1.4 Alternative procedure for colleagues who have left the trust

Where a colleague has already left employment and the formal stages of this policy have not been commenced or completed before the colleague left employment then the grievance will be considered in the absence of the ex-colleague and the outcome confirmed in writing. There will be no right of appeal.

8.2 Collective grievances or disputes

For the purpose of this procedure, a collective dispute is defined as a grievance which is common to two or more colleagues.

The procedure for dealing with collective grievances or disputes will mirror the procedure for individual grievances up to and including stage 3.

However, whilst stage 3 is the final stage for consideration of individual grievances, collective grievances or disputes which remain unresolved at stage 3 may be referred to the advisory conciliation and arbitration service (ACAS) by joint agreement of the parties for conciliation or arbitration.

8.3 Right of representation

At all stages of the procedure the colleague is entitled to be accompanied by a companion. The chosen companion may be a fellow worker, a trade union representative, or an official employed by a trade union.

8.4 Reasonable adjustments

In applying this procedure, managers and the Human Resources Department will ensure that reasonable adjustments are made for colleagues to enable them to fully participate in the appropriate processes. Where a colleague has raised a grievance, or has been asked to act as a witness, and feels that such adjustments are necessary, they should initially discuss the issue with the supporting human resources representative, staff side representative or the manager who is exploring the grievance.

8.5 Mediation

It may be appropriate to consider mediation to resolve disputes at work between individuals. Consideration should always be given by both or all parties to whether the involvement of an impartial third party might assist in exploring the concerns and avoid the need to invoke formal procedures if both or all parties are able to achieve a mutual resolution. Mediation would involve a trained mediator within the trust who has not previously been involved or in exceptional cases an agreed external mediator may be explored.

Mediation is an entirely voluntary process for all parties in any issue and may be requested at any stage, including prior to a formal written grievance being lodged. Mediation can be arranged by the human resources department who will liaise with the parties to confirm the arrangements. Mediation does not preclude the use of other stages of this policy if it is not successful. Use of mediation would suspend the time limits as prescribed in the procedure. Further information on mediation can be found in the trust guide to mediation at appendix H. There will be no record made on the colleague’s personal file relating to the process of mediation.

8.6 Time limits

It is the intention of both management and trade union colleagues that problems are resolved as quickly as possible and that, where specified, time limits are to be regarded as maximum. There may be situations when timescales cannot be adhered to, if this is the case the colleague will be informed of the reason for this.

8.7 Pay banding issues

It is recognised that concerns involving banding may necessitate longer time limits due to the process which is involved. Such issues will be subject to local agreements on longer time limits. If the banding issue relates solely to dissatisfaction with the outcome of a banding review a separate procedure exists involving staff side and management representatives trained in NHS job evaluation.

8.8 Avoidance of duress

Both parties will make every endeavour to ensure that whilst the concern is being dealt with in accordance with this procedure, the procedure should be followed by the parties working within the spirit of the agreement and with goodwill in the best interests of the service.

8.9 Status quo

Where there is a justifiable reason for moving to new arrangements, the general position will be that proposed changes will be applied. Colleagues and Staff side representatives may seek to challenge the non-application of the status quo in such circumstances; in which case, the manager involved will organise a meeting with HR and Staff Side as a priority for the matter to be considered further.

The meeting will be a priority meeting and should not be subject to any unnecessary delay.

8.10 Grievances and disciplinary investigations

Where a grievance is raised pertaining to an ongoing disciplinary procedure, the trust has the discretion to decide whether to suspend the disciplinary process to fully investigate the grievance, or to deal with them concurrently. This should be discussed with the human resources department.

If at any time during a grievance process, it is found that the matters should be dealt with under an alternative policy, such as the trust’s disciplinary policy, the complainant will be kept updated on the progress of such action.

8.11 Vexatious complaints

Grievance complaints found to be vexatious in nature may lead to the trust instigating a disciplinary investigation into the complainant. This will be done in line with the trust disciplinary policy.

8.12 Statutory rights

Nothing within the above procedure prejudices the colleague’s entitlement to invoke their statutory employment rights.

9 Training implications

9.1 Managers

How often should this be undertaken: Once, then updated with any policy changes.
Length of training: Half a day, which covers numerous HR topics.
Delivery method: Policy workshop and, or briefings.
Training delivered by whom: Human resources department.
Where are the records of attendance held: ESR or personal files.

9.2 Human resources

How often should this be undertaken: On appointment, then updated with any policy changes.
Length of training: Half a day.
Delivery method: Induction, shadowing, and team meetings.
Training delivered by whom: HR team partners.
Where are the records of attendance held: ESR or personal files.

9.3 Staff side

How often should this be undertaken: Staff side representatives will be directed to the policy on revision or as new representatives are confirmed.
Length of training: Half a day, which covers numerous HR topics.
Delivery method: Policy forum and, or briefings induction.
Training delivered by whom: Human resources department and regional staff side representatives.
Where are the records of attendance held: ESR or personal files.

10 Monitoring arrangements

10.1 Compliance with policy

Time limits adhered to and applying consistency when dealing with issues of concern raised by staff.

How: through HR involvement or consultation with managers or hearing chair to ensure all correspondence is responded to within the correct time limits. Through HR involvement or consultation with managers or hearing chair to ensure all meeting and investigation timescales are adhered to. Operational records kept within the human resource department on all formal concerns raised.
Who by: HR team.
Reported to: Head of HR and care group SLT.
Frequency: Regular monitoring through weekly HR team meetings and internal audits. Discussed regularly at HR SLT meetings. Discussed regularly with care group SLT.

10.2 Consistency within trust on resolution of grievances

How: Central records retained within the human resource department regarding all formal grievances and the process followed. Data reviewed and collated for reporting to care group governance meetings.
Who by: HR team and HR manager or head of HR.
Reported to: Head of colleague relations and care group governance meetings.
Frequency: Regular monitoring through HR team meetings and internal audits. Annually.

10.3 Grievances by protected characteristic

How: Records maintained by the HR department. Completion of and review of monitoring forms reported through workforce equality and diversity reports.
Who by: HR manager.
Reported to: Director of people and organisational development.
Frequency: Every 6 months.

11 Equality impact assessment screening

To access the equality impact assessment for this policy, please email rdash.equalityanddiversity@nhs.net to request the document.

11.1 Privacy, dignity and respect

The NHS Constitution states that all patients should feel that their privacy and dignity are respected while they are in hospital. High Quality Care for All (2008), Lord Darzi’s review of the NHS, identifies the need to organise care around the individual, ‘not just clinically but in terms of dignity and respect’.

As a consequence the trust is required to articulate its intent to deliver care with privacy and dignity that treats all service users with respect. Therefore, all procedural documents will be considered, if relevant, to reflect the requirement to treat everyone with privacy, dignity and respect, (when appropriate this should also include how same sex accommodation is provided).

11.1.1 How this will be met

No issues have been identified in relation to this policy.

11.2 Mental Capacity Act

Central to any aspect of care delivered to adults and young people aged 16 years or over will be the consideration of the individuals’ capacity to participate in the decision-making process. Consequently, no intervention should be carried out without either the individual’s informed consent, or the powers included in a legal framework, or by order of the court.

Therefore, the trust is required to make sure that all staff working with individuals who use our service are familiar with the provisions within the Mental Capacity Act (2005). For this reason all procedural documents will be considered, if relevant to reflect the provisions of the Mental Capacity Act (2005) to ensure that the rights of individual are protected and they are supported to make their own decisions where possible and that any decisions made on their behalf when they lack capacity are made in their best interests and least restrictive of their rights and freedoms.

11.2.1 How this will be met

All individuals involved in the implementation of this policy should do so in accordance with the guiding principles of the Mental Capacity Act (2005).

12 Links to any other associated documents

Disciplinary policy
Respect, civility and resolution (formerly bullying and harassment) policy
Leaving employment policy and procedure
Guide to mediation

13 References

Employment Rights Act 1996.
Employment Relations Act 1999.
Employment Act 2008.
ACAS Code of Practice: Disciplinary and Grievance Procedures, April 2015.
Disciplinary and Grievances at Work: ACAS Guide.

14 Appendices

14.1 Appendix A Grievance procedure summary

14.1.1 Stage one, informal resolution

Grievance raised with line manager (or, if this is not possible with the next line management in the structure)
Hold informal meeting.
Discussions and resolutions to be detailed in the informal grievance resolution note (appendix C).

For the informal stage to be explored fully, the learnings and recommendations from the informal stage is to be implemented for a minimum of 4 weeks before a colleague should escalate to the next stage should they remain aggrieved.

If the grievance is sufficiently serious, it should be raised formally at stage two.

14.1.2 Stage two, formal resolution

If it has not been possible to resolve a grievance informally, the colleague should set out the nature of their grievance formally in writing utilising appendix D, notification of a formal grievance form.

Meeting to be arranged without delay with an appropriate manager.

For the formal stage to be explored fully, where there are learnings and recommendations. From the formal stage these should be trialled or implemented for a minimum of 6 to 8 weeks before a colleague should escalate to the next stage should they remain aggrieved.

If the colleague remains dissatisfied, they will have 21 calendar days from the end of the 6 to 8-week period to register an appeal

14.1.3 Stage three, appeal

Meeting to be arranged without delay with an appropriate manager.

14.5 Appendix E Advice to colleagues

14.5.1 Introduction

The purpose of the grievance and dispute policy is to provide a means for employees, individually or collectively, to resolve grievances which affect the terms and conditions of service under which they work.

The policy has been developed in conjunction with staff side representatives and having been formally adopted constitutes part of your terms and conditions of service.

This advice outlines the basic principles on which the policy operates and the initial steps which you should take if you have a grievance which needs to be resolved.

The policy consists of a number of stages at which, if your grievance remains unresolved, you will have the ability to take the matter forward to the next stage, and to be represented at each of the formal stages by a trade union or professional organisation representative or a fellow employee.

14.5.2 Scope of the procedure

This procedure covers all employees employed under a contract of employment by the trust and all questions which may become a source of grievance to the employee including their job, conditions of service, banding or any other such matter which is within the trust’s authority to resolve. It is one of a number of policies and procedures designed to enable employees to raise concerns which they may have about their work.

14.5.3 Procedure

14.5.3.1 Stage one, informal resolution

Where any employee has an enquiry, problem or a grievance concerned with their job, conditions of service or banding, this should, in the first instance be raised with their immediate manager in order to try to resolve the matter without recourse to the formal stages of the procedure. The employee should consider how they believe their grievance could be resolved and discuss this with their line manager.

The immediate manager will hold an informal meeting with the employee to understand the concerns or issues. If the employee has supporting evidence which relates to their grievance this should be shared at the meeting. Within the meeting the immediate manager and employee should explore the reasons for the problem and collaboratively develop a solution. If the manager is unable to resolve the matters at the informal meeting they will have the opportunity to complete an initial informal fact finding to assist with resolution. The manager will meet informally with the employee again to discuss the outcome of the informal fact-finding and work on a solution. Details of discussions and resolution at this stage will be detailed in an informal grievance resolution note which will be held on the employees file.

The immediate manager will need to respond to informal grievances without necessary delay unless the matter concerns a banding issue in which case the matter must be referred to the human resources department.

If you consider that the matter has not been settled satisfactorily at this stage, or your grievance is significantly serious, then you may bring the matter to the attention of the relevant manager in accordance with 8.1.2 of this procedure by setting out your grievance in writing, using the form in appendix B.

14.5.3.2 Stage two, formal resolution

An appropriate manager who is has not been involved in the informal stage will be appointed to hear or investigate your concerns. You will be invited to a hearing to discuss your grievance. This will be the formal stage of the procedure and as such you are entitled to be accompanied by a companion. The chosen companion may be a fellow worker, a trade union representative or an official employed by a trade union. This applies to all stages of this procedure.

The manager can adjourn the meeting if they feel that investigation of your grievance is required. They may reconvene the hearing if appropriate. Whilst it would normally be the hearing manager who investigates any grievance there may be some occasions where an independent investigation office is appointed to investigate the concerns, compile a report and present their findings at the hearing. This is considered on a case by case basis.

A written response of outcome will be provided without reasonable delay of conclusion of meeting or investigation.

14.5.3.3 Stage three, appeal

If your grievance remains unresolved after stage two, formal resolution, you may appeal the grievance outcome within 21 calendar days of the outcome letter (following the recommendation period). The outcome letter will advise you who to address the appeal to, using appendix C.

A senior manager will be appointed to hear your appeal of grievance.

A hearing will be arranged without unreasonable delay of receipt of appeal. Normally the appeal panel would review all evidence collated during the process, including the informal stage, and provide a response. A response will be provided without unreasonable delay following the hearing.

The appendices of the policy offers a diagram of the operation of the procedure. The procedure incorporates timescales within which you are required to register your grievance at any subsequent stage, and within which you will be entitled to a response. Except banding issues, for which separate timescales may have to be applied, the specified timescales should be regarded as maxima and all parties should seek to resolve grievances at the earliest appropriate opportunity within those timescales.

14.5.4 Support available

It is acknowledged that having a grievance within the workplace can be stressful and impact people in differing ways. Wherever possible the trust will deal with grievances at the lowest level appropriate and in a timely manner. If you do have concerns the trust empowers and supports you to raise these with your line manager, or a senior manager if it regards your manager, at the earliest convenience. The Human Resources team are available for advice and support and can be contacted by emailing rdash.askhr@nhs.net.

The trust has an independent Employee Assistant Programme through Vivup. This is a 24-hours a day, 7 days a week confidential service that can be accessed through the Vivup website (opens in new window) or by calling on 0330 800 658.

14.5.5 Further Information

Should you have any queries please do not hesitate to contact either your manager or the Human Resources team for advice.

14.6 Appendix F Managers guidance for grievance meetings

This guidance is suitable for both informal meetings and formal hearings and presents good practice in working with employees to resolve issues and complaints. Later in this document there is specific guidance for the formal and appeal stage.

14.6.1 Purpose

To enable an employee(s) to air their complaint(s).
To identify and resolve the causes of dissatisfaction, where possible.
To reduce tension in working relationships.
To improve communications and understanding.
Formal stage and appeal, to continue to explore issues if unresolved at previous stages.

14.6.2 Preparation

It is essential to collect any background information that is available and relevant, for example:

job description
personal file
grievance notification form
grievance procedure
supporting documentation, letters, contract, relevant to the grievance
details of previous grievances which are similar (and subsequent outcome) if available
stage two formal resolution, details of informal resolution explored, if applicable, details of grievance from employee
stage three appeal, as well as the above the panel will review the formal outcome letter, appeal from employee and stage two managers statement of case

It is also important to note the details of the grievance procedure:

the limits of the manager’s responsibility
the rights of the employee to representation
the subsequent stages in the procedure if the grievance is unresolved

14.6.3 Planning

Ensure reasonable notice has been given.
Timing, ensure you stick to the time limits within the policy.
Ensure sufficient time is allocated to the meeting.
Ensure all relevant parties are available to attend.
Is there a need for witnesses at the meeting?
Where will it take place?

14.6.4 Procedure specific to the formal stages

14.6.4.1 Stage two, formal

14.6.4.1.1 Structure of the hearing

Treat the grievance sensitively, seriously and not defensively.
Ensure appropriate introductions are made and the employee and their representative understand the purpose of the hearing and it’s structure.
Adjournments may be called by either party throughout, be clear with the employee and their companion that they can adjourn and have a break if needed.
Listen to the details of the grievance to ensure understanding.
If witnesses have been called seek their understanding on the issue and what they have witnessed.
Ask what would resolve the grievance for the individual(s).
Give consideration to the other persons’ perspective.
Summarise and re-state the grievance in your own words, to ensure your understanding.
Give your interpretation of the facts, to put them into perspective.
Explain any progress already made in resolving the cause of the grievance.
Explain if there is a requirement for further investigation into the grievance, advising how this will be done and timeframes.
Take and keep notes, a representative from the employee relations team will be present to support with this.
Be aware it is counterproductive to belittle or evade the grievance.

14.6.4.1.2 Closing the hearing

Check that you understand the facts of the grievance (it should be written down, preferably on the appendix B grievance notification form).
Summarise the main points of the grievance and details discussed at the hearing.
Agree and confirm how the outcome will be communicated to the individual.
If required adjourn the hearing to undertake investigation of the grievance. Agree a timescale for provision of progress reports and ensure this is completed without delay, confirm this in writing.

14.6.4.1.3 Consider your decision

Identify and agree the proposed action:

grievance upheld, check with the employee the agreed action or outcome and that the grievance is resolved (confirm in writing)
grievance partially upheld, check with the employee the agreed action or outcome for the part of the grievance partially upheld. Be clear for rationale in not completely upholding the grievance. Confirm the decision and rationale via the agreed communication method advising the employee of their right of appeal
grievance not upheld, confirm the decision and rationale for this to the individual via the agreed communication method. Advise of right to appeal if the individual wishes to do so

14.6.4.1.4 After the hearing

Ensure notification of the decision is confirmed in writing without unreasonable delay.
Undertake any actions agreed promptly.

14.6.4.2 Procedure specific to stage three, appeal hearing

Whilst there is a specific structure to a stage three appeal hearing the above guidance should also be considered for good practice in seeking to resolve employee’s grievances.

All parties including panel members will be introduced to each other and a brief outline of the proceedings given by the chair of the panel.
The employee and, or, their representative will present their grievance case and call any witnesses.
The management representative and HR representative will have the opportunity to question the employee and their witnesses.
The members of the panel will have the opportunity to question the employee and their witnesses.
At this stage a witness may be released or asked to remain available should the panel or either party feel that further questions or clarification may be required later in the grievance hearing.
The management representative supported by the HR representative will present their case and call any witnesses.
The employee and, or their representative will have the opportunity to question the managing representative, and their witnesses.
The members of the panel will have the opportunity to question the management representative and their witnesses.
At this stage a witness may be released or asked to remain available should the panel or either party feel that further questions or clarification may be required later in the grievance hearing.
Nothing in the foregoing procedure will prevent the panel from inviting either party or representative to describe or clarify any statement they have made.
Should the panel believe that further investigation or evidence is required, then an adjournment may be called to enable this to take place. The hearing will be reconvened as soon as practicably possible.
The panel will reconvene to announce their decision to both parties verbally where possible. In any event the individual will be notified of the decision in writing without unreasonable delay of the decision being made.

14.7 Appendix G Notification of appeal

Appendix G Notification of appeal (staff access only) (opens in new window)

14.8 Appendix H Mediation leaflet

14.8.1 What is mediation?

Mediation offers a solution to conflict in the workplace. Mediation is a voluntary, informal, and confidential process whereby impartial third parties (trained mediators) can help colleagues within the workplace, who are in conflict, to work out a mutually acceptable way forward. The employees who are in difficulty with each other decide the content of the agreement, with the facilitation of the mediators.

Mediators help and support participants to agree communication guidelines so that both parties feel sufficiently confident and safe to talk with each other about the situation, exchange concerns and come up with ideas about how to move forward. The focus of mediation is on future behaviour, rather than that of the past. The emphasis is on win-win.

Mediation is about building and maintaining good, positive, professional working relationships.

14.8.2 Want to know more?

If you have interpersonal conflict issues at work and you are not sure whether mediation is an option for you, or if you would like more information, please contact us at rdash.askhr@nhs.net and one of the trust’s trained mediators will contact you. Alternatively, you can approach your manager or union representative and ask to be referred. If the dispute is with your manager, then you can approach their line manager, your HR advisor or call us to discuss.

14.8.3 Why mediation?

Workplace misunderstandings and conflicts cause considerable stress to those involved.

When work colleagues get “stuck” in the disagreement and treat each other as the “enemy”, tension deepens and may result in formal complaints.

Mediation is a structured but informal process to address these issues before they escalate.

Mediation may also be used after formal HR processes have been completed to restore the working relationship.

14.8.4 When is mediation appropriate?

When those in conflict are willing to reach a resolution. The conflict could relate to the breakdown of a working relationship, personality clashes or communication issues.

There are situations when mediation may not be appropriate, such as, where the source of the problem is a larger organisational, strategic or management issue.

14.8.5 What happens in mediation?

Once your referral has been received, a trust trained mediator will have a brief phone conversation to ascertain whether mediation is a potential way forward. The mediator will be allocated, and a date arranged to meet with you.

The mediator will meet with each party separately. This is an opportunity for each person to talk confidentially about the problem as they see it and establish what they want as an outcome. These meetings last for about an hour each and each person will be given the same amount of time. The content of this meeting will not be shared with the other party.

The mediator will then check with both people that they are happy for a joint mediation meeting to go ahead and to decide whether mediation is still the best way forward. If so, then a time will be arranged for both parties to meet with the mediators in a face-to-face, joint meeting.

The first part of the joint meeting will allow each person uninterrupted time to talk about how they perceive the problem and the circumstances around the situation that need to be resolved, for example, communication styles and shared understanding, while the other listens. The mediators will establish that each person feels they have been able to say what they need to.

The second part of the meeting gives the participants the opportunity to talk to each other in a supported way thereby developing clear understanding, problem-solving and highlighting areas of consensus and contingencies if the agreement breaks down.

These discussion points form the basis of the written mediation agreement. Both participants approve the draft version of the agreement which is then drawn up by the mediators into a more structured format before being sent out to both parties for final approval. A copy of the agreement may be kept by the mediator for evaluation purposes but will be destroyed after the process is completed.

The detail of the joint meeting remains confidential between the parties and the mediator.

Participation in mediation does not prevent colleagues from instigating a formal process should they feel mediation has not been successful. Colleagues can choose to withdraw from mediation at any stage of the process.

14.8.6 Who are the mediators?

We have a number of qualified accredited mediators within RDaSH. The role of a mediator is to remain neutral and provide a positive environment to achieve an agreement.

Because of the need for mediators to maintain neutrality, mediators will not have any other relationship with you, for example as your counsellor, manager or friend.

For more information on mediation contact us at rdash.askhr@nhs.net.

Document control

Version: 10.
Unique reference number: 241.
Approved by: People and teams CLE group.
Date approved: 11 June 2024.
Name of originator or author: HR partner.
Name of responsible individual: Director for people and organisational development.
Date issued: 24 June 2024.
Review date: 30 June 2027.
Target audience: All trust colleagues.

Page last reviewed: November 14, 2024
Next review due: November 14, 2025

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