Policy overview
This constitutes a grievance policy and procedure.
We believe that everyone should receive the same treatment and respect. There may be occasions where you have problems or concerns. This may be about:
- an employee's work
- working conditions
- relationships with colleagues
Employees may wish to talk to us to find a resolution. This policy and procedure provides a framework and outlines how they can do this in a safe and supportive environment.
We are committed to attempting to resolve issues. We encourage employees to bring concerns to their line manager.
We recognise that by working together managers, employees and trade union representatives can work towards resolving issues at an early stage. This removes the need for invoking formal procedures.
This is achievable by having:
- open and constructive working relationships
- a genuine desire by all to resolve issues
Not all attempts to resolve issues will be successful. In this case, employees may make a formal request for resolution. This step in the policy constitutes a formal grievance.
A formal request for resolution should cover:
- any steps the employee has taken to informally resolve the concerns where this has been possible
- the relevant facts
- names of the individuals involved
- the resolution the employee hopes to achieve
This policy can be used for issues and concerns regarding:
- the allocation of work
- working environment or conditions
- the opportunities for development
- the way the employee feels they have been treated
We expect employees to act as role models for the organisation. They should proactively challenge behaviour that may affect employee health and well-being.
As appropriate we will investigate issues of misconduct on the part of another employee. We will deal with this under the disciplinary procedure.
We do not consider the following issues under the resolution procedure:
- those that are the subject of collective negotiation or consultation with trade unions
If employees have concerns about the application of policies used to manage employees, we will deal with such concerns through the appropriate stage of the policy. For example, matters up to and including investigation and evidence gathering can include any concerns the individual has. Likewise, if a sanction has been issued, the appeal process must be used. This procedure applies to everyone.
Principles
Enabling individuals and the organisation to operate effectively is a priority.
Managers and employees should raise and deal with issues in a prompt manner. We will undertake any investigations to understand the concerns and issues raised.
Employees will provide full details of the nature of their concerns, including:
- dates and times of relevant events
- names of any witnesses
- action taken to resolve issues
We will inform the subject of the details of the concerns raised against them.
In exceptional circumstances only, full disclosure may be withheld where it was felt there was a risk of harm. For example, safeguarding issue or domestic violence. Non-disclosure would need assistant director approval and, or third party advice. For example, police or local authority designated officer.
It is essential to ensure that all parties have the opportunity to state their case. They must provide their evidence of the facts under investigation.
We will take steps to protect and support all parties during the process. Any acts of victimisation will result in disciplinary action taken against the perpetrator
We recognise that work relationships can break down. We are committed to supporting all parties in an attempt to restore relationships.
We require employees to identify the outcome(s) that they are seeking. This will help reach a resolution
One or more employees may request a formal resolution under this policy. The group may choose to select one or more from the group to represent them.
An employee may request a formal resolution for one or more issues or employees.
If employees wish to raise concerns about malpractice at work, they can refer to the whistleblowing policy.
The resolution procedure is not for use where a process is already underway and/or specific appeal provision exists, such as:
- disciplinary, capability, sickness absence, redundancy etc.
- flexible retirement or working
- job evaluation or grading decisions
We will deal with complaints raised by employees against elected members as set out in the Constitution. In particular, the protocols on:
- elected member and officer relations
- harassment, intimidation and unacceptable behaviour
Resolution support
We recognise that raising a concern can be difficult for all people affected. We will offer support to anyone who:
- raises a concern
- is the subject of the concern
- anyone else who may be affected
Support can be offered at any stage of this procedure.
We will discuss options for support with employees to ensure that it is appropriate for them.
Support will be dependent on the nature of the issues and can include, but is not limited to:
- having an independent support officer
- temporary redeployment or line management
- signposting to counselling or mental health support
Definition of independent support officer
A support officer may be provided for any employee involved in the case.
The manager will be responsible for appointing a support officer if required, to:
- support the employee by making regular contact and to enquire of the employee’s health and wellbeing
- direct the employee to the employee support and counselling service
- provide updates on the progress of the case to the employee
- feedback to the manager any concerns of issues raised from the employee, seeking clarity and information to pass on where possible
- maintain a record of all contact with the employee
The support officer will not:
- provide advice or opinion
- prepare their case
- attend formal meetings if the investigation progresses to a formal resolution meeting or disciplinary meeting (even in a ‘silent’ capacity)
Mediation
Mediation can be considered at any stage of this procedure. This is dependent on the nature of the concerns.
We may recommend it as a means of finding a resolution.
Mediation involves the appointment of a third-party mediator. They will discuss the issues raised by the grievance and seek to facilitate a resolution.
We will only use mediation where all parties involved in the case agree.
If mediation fails, employees retain the right to proceed through the resolution procedure.
Harassment and bullying
We are committed to creating a work environment free of harassment and bullying, where everyone is treated with dignity and respect. We recognise the harmful effects of harassment and bullying.
We will not tolerate harassment and bullying of any kind. We will investigate allegations of harassment. If appropriate, we will take disciplinary action.
Employees may use this employee resolution policy to raise an issue concerning harassment or bullying.
An employee may wish to seek advice from HR on how to raise their concerns by emailing EqualityDiversityandInclusion@lincolnshire.gov.uk.
We will not tolerate victimisation of a person for making allegations of bullying or harassment. Victimisation is a disciplinary offence. These provisions apply to the workplace during working hours and at other work-related activities, which may be outside of working hours:
- training courses
- conferences
- social functions
Read our harassment and bullying policy.
Informal resolution
Employees should try to resolve any difficulties and seek resolution at the earliest opportunity without having to use a formal process. Employees are encouraged to speak up and be open about:
- what is happening
- how it is impacting them
- how things can be improved
The following options may help an employee to resolve the difficulties.
- keeping a record of what happened
- raising concerns directly with the colleague or manager that the concerns relate to
- taking time to sit down together to discuss and reflect on what has happened and how to resolve the issues
- asking a manager to raise the concerns with the person for them
- a facilitated conversation so that a third party can help the employee to raise their concerns
- mediation
Employees are encouraged to bring issues to the attention of their manager as soon as possible. Meetings at this stage will involve them and their manager. Employees may use their one-to-one or supervision meetings to discuss issues.
The manager will consider whether any support arrangements are necessary to protect the health, wellbeing and safety of any individuals raising concerns, the subject of a concern or anyone else who may be affected.
If we decide an investigation is required, we will make the employee aware. We will then carry out the investigation, or appoint an appropriate person to do this.
An exploration into all attempts to find a resolution will occur. During this time, we will support the employee. Whilst these are informal discussions, we will keep a record of:
- the conversation
- the issues raised
- actions taken to resolve the matter
Formal resolution procedure
This constitutes a formal grievance.
The first step of the formal resolution procedure is for the employee to request a formal resolution by putting their concerns in writing to their manager. If the concerns relate to their manager, they should raise the concerns with their manager’s manager.
This written request will form the basis of any subsequent meetings and any investigations.
It is essential that it clearly sets out the nature of the concerns. This includes:
- dates and times of relevant events
- names of anyone involved and any witnesses
- the actions taken to date
- to indicate the outcome the employee is seeking
If the request for resolution is unclear, we may ask the employee to clarify the issues before any meetings take place. Employees may complete the resolution request form (appendix one). They may also provide their own written correspondence via letter or email.
A manager who is impartial and of appropriate seniority will be identified as the resolution manager and will be given the written request for resolution.
Resolution meeting
The resolution manager will arrange a resolution meeting to take place as soon as possible. The employee will be given five working days notice. Where a short timescale is not possible, the manager will agree the timescale with the employee.
In cases of bullying and harassment or working conditions, the resolution manager will undertake a risk assessment. This will identify any action required to protect the health, wellbeing and safety of any employees:
- involved in raising the issues
- as the subject of a concern
- who may be affected by the issues or the process
This will include reviewing any support already in place.
At the resolution meeting an HR representative will provide advice on policy and procedure. A note taker will attend or MS teams recording facility will be available.
We will provide copies of all relevant documentation, including investigatory reports to those who attend the resolution meetings.
At the meeting, the resolution manager will ask the employee to explain their concerns and discuss all the relevant facts concerning the matter.
Any further meetings to discuss the matter will include providing copies of any relevant documentation. This includes any investigation material.
Where appropriate, we may appoint an independent investigator who will:
- gather facts and information
- interview witnesses
All those involved must have the opportunity to respond to the issues. We will hold as many meetings as necessary to investigate the matter.
Following full consideration, the resolution manager will reconvene the resolution meeting to share:
- the findings
- conclusions about issues raised
- any actions to be taken to resolve matters
We will confirm this in writing.
It is important to note that if, as a result of a formal resolution, disciplinary action or other action is being considered towards other employees, the individual who raised the issue will not be advised of the outcome of those proceedings. This is confidential and private to the employees involved.
We will also advise of the right of appeal.
Resolution appeal
If the employee is dissatisfied with the outcome, they have a right to appeal. This also applies to cases where mediation has not secured agreement by all parties. They will need to state the grounds of the appeal clearly. This should include the basis on which they believe that the findings and actions to be taken to resolve the matter were wrong.
The employee should notify the head of people of their intention to appeal in writing, within five calendar days of either:
- receipt of the outcome notification
- confirmation from the mediator that mediation has not secured agreement
If the employee needs more time to provide any supporting information, this can be provided to the head of people after a further five calendar days.
A senior manager will hear the resolution appeal. This will be within a reasonable time. The senior manager will be either:
- the head of service from the service area concerned
- an individual at an equivalent or higher level
An HR representative and a note-taker or MS teams recording facility will be available.
The resolution manager may be required to attend. They will describe:
- the investigations
- considerations made
- reasons for the decisions they reached
The appeal meeting is not intended to re-hear the entire case or raising any new issues.
The appeal manager will consider the grounds the employee has put forward for the appeal. They will discuss the resolution the employee seeks. They will assess whether the conclusion reached in the resolution meeting was appropriate.
This will take place in person, following an adjournment. It will be confirmed in writing to both the employee and the manager.
This decision is final and marks the end of the resolution procedure.
Procedural information
'Working days' are defined as weekdays (Monday to Friday). This excludes bank holidays and statutory holidays. This is despite the actual days worked by any employee.
Employees must request a formal resolution within three months of the incident, unless exceptional circumstances apply. We may not consider a request raised outside of this timescale.
Through the formal procedure, employees have the right to be accompanied by:
- a trade union representative
- a work colleague
- an official employed by a trade union
No other representation will be permitted to attend the meeting.
Where there are grounds for a reasonable adjustment for a disabled employee to be made for an alternative companion. They should discuss this with the resolution manager. In all cases, they must tell the manager who their chosen companion is at least 24 hours before the meeting.
If the trade union official is not known to management, they must provide documentation stating that the companion is:
- an official of the union concerned
- authorised by that union to represent employees
- if employed by us, is allowed reasonable time off from duties (this is without loss of pay, but no-one is obliged to act as a companion)
If the employee or the companion is unavailable at the time of the meeting, we may reschedule the meeting. It will take place within the following five days.
If the employee fails to attend the re-arranged hearing, they will be advised that the issue or representation may be:
- considered by us in their absence
- considered to have been withdrawn and nothing further will be done
The companion may address the meeting. They can:
- present and sum up the concern
- respond on the employee's behalf to any views expressed at the meeting
- confer with the employee
The companion does not have the right to:
- answer questions on the employee's behalf
- address the meeting if the employee does not wish it
- prevent us from questioning the employee
The resolution procedure should not be used where specific appeal provisions exist. For example:
- in respect of disciplinary
- flexible retirement or working
- job evaluation or grading decisions
To clarify, issues about the process should be raised within the relevant policy that they apply to, such as making reasonable adjustments to the process. However, issues about bullying and harassment can be raised through this policy.
Employee records
We are committed to the appropriate and relevant retention of resolution procedure (formally known as grievance) information. This is in line with applicable legal requirements for grievance procedures.
Key dates and outcome information concerning resolution cases will be maintained securely by HR.
We will retain a scanned copy of any resolution documentation on a relevant document management system. It is accessible only by HR.
We will destroy the documentation after the applicable retention period specified for grievances.