Useful Documents - Grievance Procedure

We reproduce below Leicester Education Authority's Grievance Procedure document.

Grievance Procedure for School Based Staff and Centrally Employed Teachers

January 2002

Contents

  1. Scope and Purpose
  2. Principles
  3. Stages
  4. The Informal Stage
  5. Formal Stages - Stage One
  6. Formal Stages - Stage Two
  7. Grievances against members of the Governing Body
  8. Grievances which can only be resolved by the LEA
  9. Centrally Employed Teachers
  10. Review
  11. Appendix A - Process for a Grievance Hearing

1. Scope and Purpose

1.1 The procedure applies to all school/college based employees employed by the LEA/Governing Body and also covers centrally employed teachers (see paragraph 9).

1.2 Grievances are raised by individuals bringing to management's attention concerns or complaints about their working environment, terms and conditions of employment and work-place relationships.

1.3 This procedure only applies to employees taking up concerns with other employees. If an employee wishes to take up a concern with or about someone who is not an employee then this procedure would not apply (see paragraph 7 below regarding complaints against Governors).

1.4 The procedure provides for School/College employees to raise any legitimate grievance/complaint relating to their employment and have it settled fairly and without undue delay.

1.5 This procedure does not cover concerns relating to the operation of procedures/situations where separate mechanisms for raising concerns/grievances exist, for example:

1.6 All grievances should be raised within the School in the first instance. There may be some occasions when it becomes clear that the grievance is one which only the LEA can resolve, for example if the grievance relates to conditions of service or to advice originally given by the LEA. In these circumstances the procedure set out in paragraph 8 should be followed.

1.7 If at any stage, the complainant feels unable to raise their concerns with either the Headteacher or the Chair of Governors, they are advised to approach their Professional Association at the earliest opportunity.

1.8 If an allegation of a racist incident is raised this should also be recorded under the Racists Incidents: Schools' Reporting and Monitoring Procedures.

2. Principles

2.1 Headteachers and other managers are expected to deal sensitively, reasonably and quickly with employee complaints and, equally, employees are expected not to challenge reasonable management actions.

2.2 There should be no victimisation of any employee who raises a grievance.

2.3 Wherever possible concerns should be resolved at the informal stage as near as possible to the point of origin within the organisation. The involvement of the relevant Trade Unions or Professional Associations, or other third parties, may assist the process at this stage.

2.4 Every effort must be made by all concerned to address the issues.

2.5 At all stages of the procedure both parties will have the right to be accompanied and/or represented by their Trade Union/Professional Association, colleague or friend.

2.6 All information associated with grievance proceedings should be treated in the strictest confidence by all parties.

2.7 Where a grievance is referred to the next stage, all parties will be expected to show that they have made every effort to achieve a satisfactory solution to the problem.

2.8 Any Governor hearing a grievance should have had no prior involvement in the issue.

2.9 This procedure can also apply to grievances raised by a group of staff. In such circumstances the group may choose to be represented by their Trade Union/Professional Association representative who would meet with the Headteacher on their behalf.

2.10 If a grievance relates to an equal opportunity issue, for example racial or sexual harassment, then it is recommended that advice from an appropriate adviser is sought by the Headteacher/manager at all stages. This advice would include whether this is the appropriate procedure to use.

2.11 It is recognised that there are usually two sides to every dispute, and that the person complained against may have a different version of events or may wish to put forward new and additional evidence.

2.12 In some circumstances, the person complained against may raise their own concerns. Where these concerns relate to the issue under consideration, such matters will be dealt with as part of the same case, and will not form a separate grievance. However, if unrelated issues arise, they could form the basis of a separate grievance.

2.13 Where there is strong evidence that the complaint is being raised on malicious grounds or that the procedure is being abused, the person raising the complaint may be subject to the disciplinary procedure.

3. Stages

3.1 Informal Stage

3.1.1 Normally, the employee should raise the problem informally with the individual concerned. More than one meeting may be necessary. If the employee feels unable to raise the matter themselves they may choose to raise the concerns through their Trade Union/Professional Association representative, colleague or friend.

3.2 Formal Stages

3.2.1 Stage One - raise the problem formally in writing with the Headteacher.

3.2.2 Stage Two - refer the problem to the Chair of Governors for a hearing to be arranged.

4. The Informal Stage

4.1 If an employee has a grievance against another employee then the first step should be to raise the concern with the individual in question at the earliest opportunity and try and resolve matters informally.

4.2 There is an expectation that every attempt will be made by all parties to resolve grievances at the informal stage. In practice, what this means is that the grievance may be raised informally on more than one occasion and/or with more than one person. This could be with the involvement of a Trade Union/Professional Association if so desired by the employee.

4.3 As an example, an employee could have a grievance against another employee and raise their concerns informally in the first instance with that person. If the parties are unable to resolve the concerns then the employee could take the grievance informally to their line manager or the Headteacher for them to attempt to find a solution at the informal stage. If unresolved the employee could then move to formal registration of the grievance at Stage One.

4.4 If the grievance is against the Headteacher, then the matter should initially be raised informally with the Headteacher him/herself. The employee (or their representative - see paragraph 3.1.1 above) should ensure that all relevant information is provided to the Headteacher at the informal stage in order that, wherever possible, s/he is not expected to respond to new concerns at Stage One.

4.5 If the employee is unhappy with the Headteacher's informal response to their concerns, then they should inform the Headteacher that they wish to raise a formal grievance (see also 5.9).

4.6 In a minority of cases it may be appropriate for the concerns to be raised at the informal stage with the Chair of Governors. However, in the majority of cases concerns should be raised directly with the Headteacher.

5. Formal Stages - Stage One

Grievance Hearing with the Headteacher

5.1 If it does not prove possible to resolve the concern informally, then it would be necessary to move into the formal process and for the employee to raise their concern in writing with the Headteacher via the grievance registration form. It is important therefore that the Headteacher ensures that the member of staff has access to a copy of the grievance procedure and a grievance registration form (see also 5.9).

5.2 If there is evidence that either party has not made sufficient attempt to resolve the grievance informally, then the Headteacher can refer the grievance back to the informal stage.

5.3 With the agreement of both parties (the "complainant" and the "person complained about") complaints may be referred directly to Stage Two.

5.4 The completed grievance registration form should be passed to the Headteacher within 10 working days of the conclusion of the informal stage.

5.5 The Headteacher may choose to delegate responsibility for dealing with the grievance at Stage One to another senior manager within the school/college. This would not be appropriate if the grievance was against the Headteacher him/herself.

5.6 The Headteacher (or other designated manager) will meet with the employee to discuss the details of their grievance as soon as possible and will try to settle the grievance within 10 working days of receipt of the grievance registration form. This may well involve talking to witnesses or other employees involved and/or seeking advice from other staff or officers of the LEA. If the grievance is particularly complex then the Headteacher/manager may be prevented from resolving the issue within the 10 days. If this is the case then the employee will be kept informed of the reasons for the delay and a deadline will be set for a final response.

5.7 Both parties will be entitled to be represented at any formal meeting with the Headteacher/manager about the grievance. Notes of meetings will be taken and a copy will be given to both parties by the Headteacher.

5.8 The Headteacher/manager will meet with both parties to provide a verbal response which should then be confirmed in writing within 5 working days of the decision being made. Either party then has a further 5 working days to register in writing with the Headteacher and Chair of Governors that they wish to proceed to Stage Two of the procedure.

5.9 In a minority of case, where it is considered that it may not be appropriate to raise the concern with the Headteacher at Stage One, the grievance registration form should be completed and passed straight to the Chair of Governors. The Chair should then seek advice from the Education Human Resources Team on the appropriateness of him/her hearing the grievance.

5.10 In circumstances where it is agreed that the Chair should hear the grievance, the process to be followed will be that laid out above with the Chair taking the role of the Headteacher/manager.

5.11 In some cases it may not be appropriate/possible for the Chair or other member of the Governing Body to take this role in which case the Chair should approach the LEA who will appoint an officer to try and resolve the grievance at Stage One.

6. Formal Stages - Stage Two

Grievance Hearing with a Governors Panel

6.1 Stage Two will be a grievance hearing with a panel of three Governors who have had no previous involvement in the matter.

6.2 Ideally, the membership of the panel should represent a cross section of the Governing Body. The gender and/or ethnic origin of the employee and/or the nature of the grievance may be relevant in determining the composition of the panel.

6.3 It is strongly recommended that the panel is advised by a member of the Education Human Resources Team. In addition, where an employee has alleged racial or sexual harassment, the governors should have present to advise them a person with the appropriate expertise.

6.4 The Chair of Governors will copy the referral to the Headteacher and to the respondent(s).

6.5 The grievance hearing should take place within 15 working days.

6.6 All parties should be given at least 10 working days notice of the hearing.

6.7 The panel will be provided with copies of all written evidence to date.

6.8 Witnesses may be called by either party only where the written evidence provided is contested or Stage One has been bypassed.

6.9 It would be very unusual to hear further complaints at this stage.

6.10 The procedure for the hearing is as set out at Appendix One

6.11 At the conclusion of the hearing both parties will be notified of the decision in person wherever possible and this will be confirmed in writing within 10 working days.

6.12 Minutes of the hearing will be taken (usually by the Clerk to the Governors) and copies of the minutes will be provided to all parties and the Head of Human Resources (Education).

6.13 The decision of the panel is final.

7. Grievances against members of the Governing Body

7.1 Governors, in their capacity as Governors, are not employees of the school/LEA. It is not, therefore, possible to use this procedure to take out a formal grievance against a member of the Governing Body.

7.2 However, if a member of staff has a complaint against a member(s) of the Governing Body, then the recommended process would be to raise the matter with the Headteacher who would then attempt to resolve the matter.

7.3 If an employee has a complaint against an individual member of the Governing Body and the Headteacher is unable to resolve this informally, then the employee can take their complaint to the Complaints Committee of the Governing Body.

7.4 Collective disputes which arise from a difference between the Governing Body and all, or at least a substantial number of, teachers at the school, should be dealt with using the model procedure set out in Appendix II of the Burgundy Book.

8. Grievances which can only be resolved by the LEA

8.1 If the Headteacher/Chair of Governors identifies that the grievance is a matter that can only be resolved by the LEA, then they should advise the employee to raise their concerns with the Director of Education.

8.2 If the Director believes that it is not appropriate for the LEA to hear the grievance, he/she will discuss this with the Headteacher/Chair of Governors and, if appropriate, he/she will then refer the grievance back to the school to resolve.

8.3 If the grievance is accepted as the responsibility of the LEA, the Director will nominate a senior officer from within the department, usually at third tier or above, to meet with the employee, as outlined above. The Senior Officer will undertake the role of Headteacher.

8.4 The process and timescales to be followed will be as identified in Stage One. If the employee is unhappy with the response of the LEA officer then they would have 5 working days to register with the Director of Education that they wish to progress to Stage Two.

8.5 Stage Two will progress as outlined above except the panel would comprise of three LEA officers who have had no previous involvement in the matter. It is recommended that one of the officers should be a representative of the Education Human Resources Team.

9. Centrally Employed Teachers

9.1 The grievance procedure for centrally employed teachers will be as outlined above, with the appropriate manager taking the place of the Headteacher at Stage One and the concern being raised in writing at Stage Two with the Director of Education or nominated senior manager.

9.2 All hearings will be heard by three independent LEA officers. It is strongly recommended that one of the officers should be a member of the Education Human Resources Team.

10. Review

10.1 This procedure will be subject to periodic review, initially in six months.

Appendix A

Process for a Grievance Hearing

  1. Employee who asked for the grievance to proceed to stage 2 ('the employee') presents their case. During the presentation of the employee's case witnesses may be called. Each witness will be questioned first by the employee, then by the respondent(s) and finally by the panel.
  2. Respondent(s) to ask questions.
  3. Panel or adviser(s) to ask questions.
  4. Respondent to present their case. Where there is more than one respondent, the panel will determine the order in which the respondents' advice is to be heard. Questions will be asked as set out in 5 and 6 below after each respondent has presented their evidence.
  5. Employee to ask questions of the respondent.
  6. Panel or adviser(s) to ask questions of the respondent.
  7. Where necessary, any final questioning from the panel of all parties to ensure the panel have the information they require to make a decision.
  8. Summing up by respondent(s).
  9. Summing up by employee.
  10. All parties retire whilst panel reach their decision.

In all cases the employee's or respondent's representative may speak and act on their behalf.