The purpose of this document is to provide managers and staff with further guidance and information on how to apply this procedure.
Under the Guidance, the term Line Manager refers to a Head of Department or other individual who has been given delegated responsibility for the day-to-day management of a member of staff by the Head of Department (see Section 1 of the Greivance Procedure: Ordinance 32).
In line with the Ordinance, the Head of Department may delegate their formal role under the procedure, where appropriate.
Where it is deemed appropriate, you may involve the Staff Mediation Service. The Staff Mediation Service will deal with cases where all parties involved in the complaint agree to participate in the mediation process. The aim of mediation is to identify an agreed way forward between all parties, and any such agreement may be put into writing.
Where the matter is not resolved informally or through mediation, the individual may exercise their right to take up a formal grievance under Section 6 of the Greivance Procedure: Ordinance 32.
This procedure should be followed when an individual brings a complaint to your attention. In most cases, it is anticipated that the matter will be resolved at the informal stage within the Department, and managers are expected to make all reasonable efforts to do so.
Individuals with a complaint should initially bring the matter to the attention of their line manager informally. In most cases, it is anticipated that the matter will be resolved at this stage and all reasonable efforts will be made to do so.
If the matter concerns the line manager then the individual, if they feel unable to raise the issue with them, should take it to their manager’s manager.
Where the matter is not resolved informally or through mediation, individuals may wish to exercise their right to take up a formal grievance under Section 6 of the Greivance Procedure: Ordinance 32.
Responsible for endeavouring to resolve complaints at the informal stages where possible; responsible for liaising with Human Resources as appropriate, throughout both informal and formal stages of any complaint/grievance; responsible for taking action on a complaint (verbal or written) when it is brought to their attention; responsible for making it clear to the individual bringing the complaint as to what action is being taken and the reasons for this; responsible for offering mediation as a possible route to a solution, where appropriate, where all parties agree to participate; responsible for initiating appropriate investigations (see separate guidance on Conducting Investigations); responsible for advising appropriately any person against whom a grievance is raised, informing them of the nature and scope of the grievance; responsible for identifying whether action under other procedures should be instigated and acting appropriately in this respect; responsible for convening a Stage 1 grievance hearing as appropriate, writing letters, providing notes etc., in accordance with the procedure; responsible for ensuring that appropriate follow-up action is taken to implement any outcomes of a complaint, grievance hearing or mediation; responsible for monitoring the situation thereafter to ensure as far as possible that grounds for complaint or grievance do not recur.
Responsible for advising managers and staff on appropriate implementation of policy principles and procedures; responsible for participating in informal discussions with the Head of Department/Line Manager and/or individual where appropriate; responsible for assisting in investigations (see separate guidance on Conducting Investigations); responsible for advising on who should, appropriately, attend any grievance meeting; in particularly complex cases, responsible for initiating appropriate involvement of the trades unions; responsible for ensuring that Heads of Department/Line Managers convene hearings, write letters, provide notes etc., in accordance with the procedures; responsible for ensuring that decisions taken by Heads of Department/Line Managers are consistent and fair across the organisation, and in line with University policy; responsible for assisting the Head of Department/Line Manager in ensuring that appropriate follow-up actions are taken; responsible for assisting the Head of Department/Line Manager in monitoring the on-going situation to ensure as far as possible that the grounds for complaint or grievance do not recur.
Responsible for providing relevant and appropriate advice to their members as required; responsible for providing appropriate representation of staff at meetings/hearings as required; responsible for endeavouring to be available to attend meetings/hearings as required.
Responsible for co-operating in all attempts to resolve any matters of concern, whether raised by themselves or others; responsible for bringing matters of complaint to the attention of their Head of Department/Line Manager at the earliest opportunity; responsible for taking up offers of assistance/support directed at resolving the matter; responsible for attending meetings/hearings as required under the procedure; responsible for providing all relevant information in order that fair and objective decisions can be taken.
Responsible for convening and servicing Stage 2 Committees, in accordance with the procedure.
In the first instance informal solutions and/or mediation should always be used to attempt to resolve complaints. Stage 1 will only be used where informal resolution or mediation has failed to resolve the matter to the complainant’s satisfaction.
The Manager must have consulted with their HR Manager before convening a meeting under Stage 1 of this procedure.
When involved in informal discussions under the procedure the manager should ensure that the individual’s complaint is acknowledged, and that action being taken in relation to the complaint is explained clearly to the individual. The manager should consider carefully whether action should be taken under any other procedures in response to the issues raised by the individual. They should ensure that the nature of, and reasons for, any action taken, or to be taken, are explained fully to the individual and ascertain whether the individual feels that their complaint has been adequately addressed. Where an individual has on-going concerns they may exercise their right to request a Stage 1 meeting under the procedure.
Where further investigations are required, at either the informal or the formal stages of the procedure, or as part of taking follow up action under other procedures, the manager should ensure that these are undertaken in line with the Guidance on Investigations (see separate guidance on Conducting Investigations).
Where the meeting is an informal one, the manager should, nonetheless, ensure that a note is kept of the meeting, and of agreed outcomes, and that this is sent to the individual after the meeting.
For formal hearings, it is good practice to follow the following format:
Introductions – all present to introduce themselves, their role in the University, and their role in the proceedings.
Representation – where an individual has brought a representative, the HR Manager present at the hearing should clarify how that role is to be fulfilled. The role may involve:-
Where an individual has elected not to bring a representative to any meeting, the Manager should always confirm that the individual has so chosen and is happy to proceed, before the meeting commences.
The individual bringing the grievance should outline their case.
The Manager/University representative to ask any initial questions of the individual
The Individual to present any witnesses who will make their statement and who will respond to questions from the individual, the manager, the University representative or committee.
The Manager/University representative to present any witnesses and/or any individual against whom the grievance is made, who will make their statement and who will respond to questions from the individual, the manager, the University representative or committee
The individual to ask any final questions of the manager, the University representative or committee, and to make any final statement.
The hearing ends.
Manager or Committee to consider carefully all the information and evidence and, with advice from the HR Manager, as appropriate, reach a decision on the grievance and any actions to be taken as a result. The manager or committee will ensure that a detailed written outcome is provided to the individual, and copied to any individual against whom the grievance lies, in line with the procedure.
The manager should undertake as much preparation as possible, before any formal or informal grievance hearing, in order to provide every opportunity to achieve an appropriate outcome for all parties. Ensuring that the manager or Committee have as full and factual an account of the situation as possible is crucial. This may involve undertaking a full investigation (see separate guidance on Conducting Investigations) and will involve careful consideration as to who might be appropriate to bring as witnesses. It will also include consideration of what action might be taken under other procedures in response to the grievance raised. Any individual against whom the grievance is raised may be present throughout the Hearing and have representation.
Committee (where a committee has heard the case) is responsible for ensuring that Council, the individual bringing the grievance and any individual against whom the grievance lies receive a reasoned written report on the Committees’ decisions and actions relating to the grievance.
Head of Department/Line Manager (where the Head of Department/Line Manager has heard the case) is responsible for ensuring that the individual is properly notified of the outcome of any grievance, in writing; responsible for ensuring that any individual against whom a grievance lies is provided with a copy of the written outcome.
The Manager is responsible for ensuring that appropriate follow up action is taken and other procedures are initiated where appropriate.
The Manager is responsible for ensuring that the on-going situation is monitored appropriately.
Human Resources is responsible for ensuring that the individual raising the grievance and the personal against whom the grievance is raised are properly notified, by the Manager, of the outcome, in accordance with the procedure; responsible for assisting and advising the Head of Department/Line Manager on the range of possible responses/actions and on their follow-up responsibilities; responsible for ensuring ongoing fairness and consistency in relation to the facts of the case.
The Individual is responsible for taking any follow up action agreed between themselves and the line manager; responsible for co-operating appropriately with any action taken under other procedures in response to the grievance; responsible for ensuring that the line manager is provided with any information relevant to any ongoing concerns.
Human Resources have a responsibility to advise the Head of Department, Line Manager or individual on all aspects of this procedure
Trades Unions can advise individuals on all aspects of this procedure, and may represent/accompany the individual at meetings/hearings
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