Senior Staff Grievance Procedure
1 Application
1.1 This procedure applies to holders of designated Senior Staff posts. Holders of
designated Senior Staff posts means the Vice Chancellor, the Clerk to the Board and the
holders of such other designated Senior Staff posts as the University Board may determine
from time to time. Throughout this procedure these staff will be referred to as Senior Staff.
Any member of staff who is in the Vice Chancellor’s direct line management but is not
designated as a member of Senior Staff should use the procedure in Part A of the Staff
Handbook. The objective of this procedure is to provide a framework to ensure a fair and
legal process for all designated Senior Staff. It sets out the ways we intend to achieve fair
treatment, given all of the Board and UCLan’s obligations.
1.2 This procedure does not form part of the contract of employment between the University
and its employees.
1.3 Throughout this procedure references to the Vice Chancellor shall be construed as
meaning any Senior Staff member who during the absence of the Vice Chancellor has been
designated as acting Vice Chancellor.
1.4 Throughout this procedure references to an individual shall be construed as meaning an
appropriate substitute where circumstances demand it, such as where the individual is
responsible for making arrangements under this procedure, has instigated the procedure, is
the subject of action under this procedure, or in cases of urgency.
1.5 Throughout this procedure references to the “manager” shall be construed as the Chair
of the University Board in the case of a grievance raised by the Vice Chancellor.
1.6 The purpose of this procedure is to:
1.6.1 enable Senior Staff who consider that they have a grievance or complaint arising from
their employment to have it dealt with at the appropriate level as expediently as possible;
1.6.2 promote fairness and consistency in the process by which grievances or complaints
arising from a Senior Staff member’s employment are considered.
1.7 A grievance is any concern, problem or complaint raised by an employee with their
employer. Issues that may cause grievances could include, for example, terms of
employment, work relations, discrimination, organisational change, working practices and
health and safety concerns.
1.8 Senior Staff are encouraged to attempt to resolve any grievances informally in
discussion with, for example, the person whose actions are the cause of the grievance.
1.9 Both Senior Staff and those acting on behalf of the University should raise and deal with
issues promptly and should not unreasonably delay meetings, hearings, decisions and
confirmation of those decisions. The University representatives, the Senior Staff member
and, where applicable, his/her representative should make every effort to attend any meeting
or hearing arranged within the scope of this procedure. Timing and location of meetings and
hearings should be reasonable.
1.10 At the sole discretion of the person(s) conducting it, any hearing or meeting forming
part of this procedure may be adjourned at any stage and for as long as may be considered
necessary and reasonable.
1.11 Where an issue is subject to another procedure/policy/scheme which contains a right of
appeal, the grievance procedure cannot be used in place of this appeal. A grievance cannot
be raised on the outcome of a hearing under another procedure/policy/scheme or an appeal
decision. In particular, it cannot be used to complain about dismissal or disciplinary action.
1.12 This procedure can also be used to deal with grievances involving more than one
designated Senior Staff member.
2 Informal Procedure
2.1 The University is committed to ensuring that differences and difficulties can be resolved
amicably through open communication. Wherever possible, grievances will be resolved
informally. This is more likely to produce effective solutions, minimise conflict and allow all
postholders to maintain positive working relationships. Senior Staff who wish to try to resolve
their grievance informally should raise it verbally wherever possible.
Before a Senior Staff member raises a grievance formally there are a number of steps
he/she should try:
a. If at all possible, he/she should discuss the grievance informally with the individual(s)
concerned. Sometimes they will be not be aware that their behaviour or actions are causing
a problem. Often, issues can be resolved at this point through discussion and clarification.
b. The Senior Staff member may seek advice from his/her manager, the Director of Human
Resources, or the Vice Chancellor as appropriate.
3 Mediation
3.1 Mediation is undertaken without any admission of wrongdoing by any party, and without
preventing any opportunity to pursue formal action.
3.2 As part of the informal steps towards resolving any issues the Senior Staff member may
be experiencing, he/she may wish to consider mediation. This is a process by which an
impartial person helps others to resolve their difficulties. It is voluntary and it can help to
resolve problems.
Mediation will seek to:
• resolve conflict
• treat people fairly
• create realistic, workable agreements
• change behaviour that is creating difficulty.
Mediation will provide opportunities to:
• speak and listen
• exchange feelings and ideas
• negotiate.
3.3 If the Senior Staff member decides he/she would like to use mediation he/she should
discuss the matter with the Director of Human Resources. Mediation can only proceed with
the agreement of all the parties involved in the grievance, including their agreement on the
choice of mediator.
4 Formal Procedure
4.1 If a Senior Staff member has a grievance that cannot be resolved informally or he/she
wishes to proceed straight to the formal procedures, he/she should, without unreasonable
delay, set out the grievance in writing and it will be dealt with under this Grievance
Procedure. The grievance should normally be submitted to his/her manager and should set
out the nature of the grievance, including relevant facts, dates and names of individuals
involved. If the complaint involves his/her manager and the manager is the Vice Chancellor
he/she should submit it to the Chair of the Board. Where the Clerk to the Board or Vice
Chancellor wishes to raise a complaint which involves the Chair of the University Board,
he/she should submit it to the Deputy Chair of the University Board.
Representation
4.2 The Senior Staff member may be accompanied by a representative, at all stages of the
formal process including any investigatory meeting. If the Senior Staff member’s chosen
representative is not available on the day of the hearing he/she can ask for it to be rearranged within one week of the original date. The Senior Staff member should inform the
manager of the identity of the chosen representative in good time before any hearing. The
representative may address the hearing to put forward the Senior Staff member’s case, sum
up the case and respond to views expressed at the hearing, but may not answer questions
on behalf of the Senior Staff member. The representative and the Senior Staff member are
permitted reasonable time to confer privately during the hearing.
Investigation
4.3 In some cases, it may be necessary for the manager to carry out an investigation into the
grievance. The amount of any investigation required will depend on the nature of the
allegations and will vary from case to case. It may involve interviewing and taking statements
from the Senior Staff member and any witnesses and/or reviewing relevant documents. The
investigation may be carried out by the manager to whom the complaint was addressed or
by someone else appointed by the manager.
4.4 The Senior Staff member should cooperate fully and promptly in any investigation. This
may include informing the manager of the names of any relevant witnesses, disclosing
documents to the manager and attending investigation meetings if required.
4.5 The manager may initiate the investigation before holding a grievance hearing where this
is considered appropriate. In other cases, the manager may hold a grievance hearing before
deciding what investigation (if any) needs to be carried out. In such cases, the grievance
hearing will be adjourned and reconvened before any decision is reached.
Grievance Hearing
4.6 The manager will invite the Senior Staff member to a hearing as soon as possible,
normally within two weeks of receipt of the written grievance. The Senior Staff member
should be advised of the date, time and venue of the hearing, the entitlement to
representation and the right to call witnesses and/or present evidence. If the Senior Staff
member or representative cannot attend, for a good and proper reason unforeseeable at the
time the hearing was arranged, then an alternative hearing will be arranged wherever
possible.
In addition, the Senior Staff member has the right to request the postponement of the
hearing if his/her representative is unavailable. The postponement can normally be for up to
one week after the originally proposed date.
Otherwise, normally, if the Senior Staff member fails to attend the postponed grievance
hearing, having adhered to relevant legislation in force at the time and where it is fair and
reasonable in all the circumstances, it will be held in his/her absence and the decision
together with the information concerning the procedure related to the right of appeal will be
confirmed to him/her in writing, normally within one week.
If the Senior Staff member simply fails to attend a hearing without a known legitimate reason
for not attending, the University reserves the right to make a judgement based on the
evidence before it.
4.7 At least one week before the hearing, the Senior Staff member must respond to the
manager to say whether he/she will be accompanied and, if so, by whom.
4.8 If either the Senior Staff member or the manager hearing the grievance wishes to refer to
any documents or call any witnesses during the hearing, copies of the documents and
details of the witnesses should be made available to all parties as appropriate, in advance of
the hearing and in any event at least three days before the hearing.
4.9 The grievance will be heard by a manager who has not been directly involved, normally
the Senior Staff member’s line manager (subject to 4.10 below). Normally also present at the
hearing will be the manager, the Senior Staff member and his/her representative, the person
against whom the grievance is raised and the Director of Human Resources (or nominee)
who will provide advice and guidance to the manager, and the Clerk to the University Board
who will keep a record of the hearing. Further witnesses for both the Senior Staff member
and the person against whom the grievance is raised may be called to the hearing by the
manager hearing the grievance to give verbal evidence if appropriate.
4.10 If the Senior Staff member’s line manager is causing the grievance, or if a manager
who is more senior to the line manager is causing the grievance, it will be heard where
possible by another manager who is at least the level of the manager causing the grievance.
If the grievance is against the Vice Chancellor it will be heard by the Chair of the Board.
4.11 The purpose of the grievance hearing is to enable the Senior Staff member to explain
their grievance and how they think it should be resolved and to assist the manager to reach
a decision, based on the available evidence and the representations they have made.
4.12 The format of the hearing will lie at the discretion of the manager hearing the grievance
and may either involve a meeting at which all parties attend and are able to present and, if
necessary, challenge, evidence; or may involve the manager conducting meetings
separately with the parties and feeding back findings to allow further questions or challenge.
4.13 The manager hearing the grievance may call an adjournment to carry out further
investigations and later reconvene the grievance hearing as considered appropriate.
4.14 In making a decision the manager hearing the grievance will look at the matters that
have given rise to the hearing, including the reasonableness of the behaviour and decision
making of all parties, and will consider all the information that has been presented. S/he will
also consider any informal processes and subsequent outcomes that have been undertaken.
4.15 The Senior Staff member will be notified of the outcome of the hearing in writing by the
Director of Human Resources (or nominee), normally within one week of the hearing. This
will include notification of the right to appeal against the decision.
5 Appeal
5.1 The Senior Staff member has the right of appeal against the outcome of the formal
grievance hearing. He/she can be accompanied by a representative at the appeal hearing.
5.2 If the Senior Staff member wishes to appeal he/she should notify the Director of Human
Resources in writing within two weeks of the date of the letter giving the decision, setting out
the grounds for appeal and including copies of any documentation which will be relied upon
during the appeal hearing.
5.3 The Director of Human Resources, working closely with the Clerk to the Board, will be
responsible for the arrangements for the appeal hearing and will notify all parties of the date,
time and venue. The Director of Human Resources will provide copies of all necessary
documentation to all parties, normally at least one week before the appeal hearing date. The
Senior Staff member must take all reasonable steps to attend the hearing.
5.4 At least one week before the appeal hearing, the Senior Staff member must respond to
the Director of Human Resources to say whether he/she will be accompanied and, if so, by
whom.
5.5 Appeals will normally be heard an independent member of the University Board.
Normally the hearing will be attended by the manager who made the decision against which
the Senior Staff member is appealing, who will be supported by a member of Human
Resources, the Senior Staff member and, if chosen, his/her representative. Also present will
be the Director of Human Resources to advise the chair and the Clerk to the Board will be
present to take notes.
5.6 The appeal hearing will operate on the basis of reviewing the decision to which the
appeal relates. Ordinarily it will be concerned with reviewing the application of the
procedures, whether, on the basis of the evidence presented at the formal hearing, the
outcome was appropriate and considering any new material evidence not available at the
original hearing which is directly relevant to the case under appeal. New information on
unrelated issues cannot be introduced.
5.7 The Senior Staff member will be notified of the outcome of the appeal hearing in writing
by the Director of Human Resources, normally within one week of the hearing. This decision
is final and no further right to appeal exists.
NOTES
The time limits referred to in this procedure may be modified with the agreement of all
parties.
Where a grievance is raised as a result of a proposed course of action, normally the action
will not be implemented until the grievance procedure is complete. However, the status quo
cannot override health and safety and other statutory obligations. Nor can it disadvantage
other employees or produce major disruption to the workings of the University.
Author: Human Resources
Last modified: April 2012