Human Resources Toolkit

NON-PROTECTED sportscotland Human Resources Toolkit Grievance

1.0 Introduction

1.1 sportscotland is committed to promoting good employment relations and strive to achieve this by fostering a culture of open communication and consultation with employees. The provision of this consistent and fair framework will support employees to achieve effective and professional working relationships. In addition, sportscotland ensures all employees are made fully aware of what is expected of them personally, of their team and within the organisation.

1.2 The definition of a grievance is any occurrence that relates to an employee’s contract of employment and where they feel there has been a breach of their contractual or statutory rights. A grievance may concern a wide range of issues including allocation of work, working environment or conditions, the opportunities for career development or the way in which employees are managed. In dealing with grievance matters sportscotland will ensure compliance with the appropriate employment legislation; in particular, the law relating to unfair dismissal, dismissal and disciplinary action as noted in the Employment Act (2008) and the ACAS Code of Practice: Discipline & Grievances at Work.

1.3 sportscotland will not discriminate on any grounds (including gender, race, disability, age, sexual orientation, or religion) in dealing with grievance cases.

2.0 Scope of Policy

2.1 This policy applies to all sportscotland employees with the exception of the Chief Executive Officer (where a separate procedure is in place).

2.2 sportscotland’s policy is to ensure:

 all grievance issues are managed in a supportive and timely manner

 employees are trained appropriately to deal with grievance issues

 mediation is available as an alternative resolution to following the formal grievance procedure.

2.3 Grievances raised whilst an employee is subject to the Discipline Policy will usually be heard once the disciplinary process has been completed. However, if the grievance raised has a bearing on the disciplinary proceedings, it can be raised as a relevant issue in the course of those proceedings.

3.0 Guidelines / Procedure

EMPLOYEE RIGHTS

3.1 Throughout the grievance procedure employees have the right to:

sportscotland HR Toolkit – Grievance Policy Last Reviewed December 2012 – version 0.2  be clearly advised of the grievance raised against them  be advised of the grievance procedure and their rights within that procedure  be given the opportunity to state their case  be allowed access to all relevant information that may assist in the presentation of their case  be accompanied by a work colleague or representative of a recognised trade union at any stage of the grievance procedure  clarify and raise issues in relation to statements from any individual cited as a witness during the grievance procedure  receive copies of minutes from any formal grievance or appeal meeting  have all grievance related documentation stored securely and treated in confidence.

REPRESENTATION

3.2 If an employee wishes to bring a representative as detailed above to the meeting, they may confer (including seeking adjournment to confer), if required, and the representative can address the meeting to:

 put across or sum up the employees case  respond on the employees behalf to statements presented during the course of the procedure  ask witness questions or seek clarification (if appropriate).

3.3 The representative may not:

 answer questions on the employees behalf  address the meeting if the employee does not want them to  prevent sportscotland from explaining the grievance or answering questions.

INFORMAL PROCEDURE

3.4 As an alternative to the formal grievance procedure, employees are encouraged to consider trying to resolve their grievance informally in the first instance. This would typically involve the following process:

 Any matters involving concerns at work are normally best dealt with informally between the employee and their Line Manager as part of the everyday working relationship. This kind of approach is particularly useful when dealing with minor concerns and should initially be discussed in a meeting between the employee and their Line Manager.

 Employees should highlight to their Line Manager the nature and/or cause for concern providing relevant detail as soon as possible and highlight the resolution sought.

 The Line Manager will arrange an informal meeting to discuss the matter in greater detail with a view to agreeing a suitable course of action to resolve the matter. This will normally be without unreasonable delay.

 Any agreed course of action to resolve the issue informally must be recorded and passed to HR for record purposes. See Appendix 1.

sportscotland HR Toolkit – Grievance Policy Last Reviewed December 2012 – version 0.2  If the informal procedure has not resolved the concern to the employee’s satisfaction, their concerns should be raised through the formal procedure outlined below. This should normally be done within 10 working days of the informal procedure being concluded.

 Employees may also wish to use the formal procedure if the grievance relates to the action of/or relationship their Line Manager.

FORMAL PROCEDURE

3.5 The formal procedure is initiated when an employee raises their grievance in writing.

Raising the Grievance

3.6 The grievance must be raised, in writing, by the employee and addressed to their Line Manager, clearly stating the nature of the grievance and indicate the outcome/resolution sought. If the statement is unclear then employees may be asked to clarify the nature of the grievance before any meetings are held.

Where the grievance relates to an employee’s Line Manager, it should be raised with the next appropriate senior manager i.e. Head of Department / Director.

3.7 The Line Manager must inform the HR Business Partner as soon as a grievance has been raised.

3.8 The grievance will be acknowledged in writing by the recipient. See Appendix 2.

3.9 Upon receipt of a grievance, the Grievance Pro-Forma must be completed to monitor the progress of the case. See Appendix 3.

Grievance Meeting

3.10 A formal grievance meeting will be held without unreasonable delay after the grievance has been received.

In some circumstances, it may be necessary to carry out an investigation prior to the grievance meeting being held. The purpose of the investigation is purely to establish the facts and may involve collating information/documentation or interviewing any relevant individuals.

In such cases, HR will appoint an appropriate Investigatory Officer who has had not prior involvement in the case.

3.11 Where an investigation is not required, a Grievance Officer will be appointed by HR for the grievance meeting.

The Grievance Officer will be someone who has had no prior involvement in the allegation / issue and does not know the details of the case or have any close involvement with anyone concerned. They will be sufficiently experienced to be a credible Grievance Officer.

The Grievance Officer will conduct the Grievance Meeting and be responsible for determining the outcome.

sportscotland HR Toolkit – Grievance Policy Last Reviewed December 2012 – version 0.2 A representative from HR will be in attendance at the meeting to provide advice as well acting as note taker. Occasionally, it may be appropriate to involve another Manager or a member of the sportscotland Legal team.

3.12 At the meeting the Grievance Meeting the Grievance Officer will:

 introduce all parties and explain their role  confirm that the employee has read and understands the grievance policy  confirm that the employee is aware of their rights under the grievance policy  ask the employee to explain the nature of their grievance  ask the employee to explain the resolution they are seeking  ensure that the employee and/or their representative have the opportunity to respond to information collated during the investigation  if appropriate, call an adjournment to gather fresh material or to consider material that has been presented  determine the appropriate outcome and inform the employee of their right to appeal (if applicable).

Grievance Outcomes

3.13 The Grievance Officer will decide upon one of the following outcomes from the Grievance Meeting:

 Upheld – where the grievance raised has been substantiated  Partially Upheld – where the grievance raised has been partially substantiated  Not Upheld – where the grievance raised has not been substantiated

3.14 The employee will be advised of the outcome as soon as the Grievance Officer has reached a decision and notified in writing, along with a copy of the minutes without unreasonable delay. See Appendix 8.

3.15 Where sportscotland proposes to take action as a result of a grievance raised, the employee will be notified (if appropriate).

The Appeals Process

3.16 If an employee is not satisfied with the outcome of their grievance they may appeal against the decision made at the grievance meeting. Details of the appeals procedure can be found at Section 5 of the HR Toolkit.

MEDIATION

3.17 Sometimes, an independent third party or mediator can help resolve a grievance matter before or after a formal grievance has been raised or meeting held.

 Mediation is where an impartial third party, the mediator, helps two or more employees in dispute to attempt to reach an agreement. Any agreement will come from those in dispute, not from the mediator.

 The mediator is not there to judge, to say one person is right and the other wrong, or to tell those involved in the mediation what they should do. The mediator is in charge of the process of seeking to resolve the problem but not the outcome.

sportscotland HR Toolkit – Grievance Policy Last Reviewed December 2012 – version 0.2  Mediation often has the benefit of helping two or more parties find solutions to underlying problems at work (e.g. working practices) and make changes that benefit all parties in the longer term.

 Mediation is always a voluntary process. If both sportscotland and the parties involved in the process consider that mediation may help resolve the grievance situation, the formal grievance procedure will be put in abeyance (i.e. frozen by mutual consent) while the mediation process takes place.

 Mediation can also be used after a grievance procedure has been resolved to rebuild relationships.

STAGES OF MEDIATION

Initial Contact

3.18 The mediator will initially hold separate meetings with both parties. The aim of this first meeting is to give each individual involved the opportunity to raise their issue and find out what they want by way of a resolution from the process.

3.19 Following the initial separate meetings, the mediator will arrange joint meetings with consent from the parties involved.

Hearing the issues

3.20 The mediator will bring the parties together and invite them to raise their side of the issue during a period of uninterrupted time.

3.21 The mediator will then summarise the main areas of agreement and disagreement and draw up an agenda with the parties for the rest of the process.

Exploring the issues

3.22 Having identified the issues to explore, the mediation is now about encouraging communication between the parties, promoting understanding and empathy and changing perceptions. The aim is to shift the focus from the past to the future and begin to look for constructive solutions.

Building and writing an agreement

3.23 As the process develops, the mediator will encourage and support joint problem- solving by the parties, ensure the solution and agreements are workable and record any agreement reached.

Closing the mediation

3.24 Once an agreement has been reached, the mediator will bring the meeting to a close, provide a copy of the agreed statement to those involved and explain their responsibilities for its implementation.

3.25 In some cases where no agreement is reached, other processes such as discipline may be used to resolve the conflict. However, nothing that has been said during the mediation can be used in future proceedings.

sportscotland HR Toolkit – Grievance Policy Last Reviewed December 2012 – version 0.2 Confidentiality

3.26 Anything said during the mediation is confidential to the parties. However, either party may choose to reveal some or all of what has occurred during the mediation to colleagues, or their managers, but only if all parties agree. The only exceptions are where, for example, a potentially unlawful act has been committed or there is a serious risk to health and safety or there is a serious reputational risk to the organisation.

When Mediation May Not Be Suitable:

3.27 Mediation may not be suitable for all situations, for example if:

 mediation is used as a first resort – where possible, employees should be encouraged to speak to each other and their Line Manager in the first instance before they seek a solution via mediation  it is used by a Line Manager to avoid their managerial responsibilities  a decision about right or wrong is needed, for example, where there is possible criminal activity  the employee bringing a discrimination or harassment case wants it investigated  the parties do not have the power to settle the issue  one side is completely intransigent and using mediation will only raise unrealistic expectations of a positive outcome.

3.28 Further advice and guidance on mediation is available from the HR Business Partner.

COLLECTIVE GRIEVANCE

3.29 A collective grievance is where two or more employees have an identical grievance and wish them to be addressed within the same grievance procedure.

3.30 Employees raising a collective grievance must be in agreement to the grievance being dealt with through a collective process.

3.31 If the grievances are not identical or all members of the group are not in agreement, sportscotland will deal with them individually.

3.32 Employees under a collective grievance are entitled to the same rights and procedure as those under an individual grievance.

3.33 During the grievance meetings, the ‘collective’ will be asked to nominate one member to act as the main representative at all meetings, however, the remaining members of the group will be able to contribute and participate.

OVERLAPPING GRIEVANCE & DISCIPLINARY CASES

3.34 Where an employee raises a grievance during a disciplinary process the disciplinary process may be temporarily suspended in order to deal with the grievance.

Where the grievance and disciplinary cases are related it may be appropriate to deal with both issues concurrently. sportscotland HR Toolkit – Grievance Policy Last Reviewed December 2012 – version 0.2 TIMESCALES

3.35 sportscotland is committed to ensuring there are no excessive delays when dealing with grievance matters. In exceptional circumstances, such as complex cases, it may be necessary to extend the timescales. If this happens, the employee(s) will be advised of the agreed timescales that will apply.

3.36 Due time and consideration will be given to all grievance matters, however, as general guidance the following timescales should be followed:

 Acknowledgement of a grievance 5 Working Days

 Notice to attend a meeting 10 Working Days (Investigatory / Grievance / Appeal Meeting)

 Notification of the outcome of a meeting 10 Working Days (Investigatory / Grievance / Appeal Meeting)

RECORD KEEPING

3.37 It is important for both parties to keep clear, written records of all grievance matters. sportscotland’s records will include details of:

 the nature of the grievance  the findings made during any investigation  any decisions and actions taken from the grievance/appeal meeting  the reasons for the decisions or actions made at the grievance/appeal meeting  any appeal and the appeal outcome  relevant subsequent developments following the grievance/appeal meeting.

3.38 These records will be treated as confidential and kept in accordance with the Data Protection Act 1998.

3.39 Paper records of grievance proceedings will be maintained in secure surroundings by HR.

RESPONSIBILITIES

3.40 Employees have a personal responsibility to:

 be accountable for their own behaviour at work and when representing sportscotland  perform to the standards expected of them  contribute constructively to meetings to discuss their performance  work with their manager to address any issues that may be affecting their performance  make themselves available at all stages during the grievance procedure  ensure that any relevant information is made available during the investigation and grievance meeting/appeal stages of the procedure.

3.41 Line Managers have a responsibility to:

 ensure team members are aware of the standards expected of them sportscotland HR Toolkit – Grievance Policy Last Reviewed December 2012 – version 0.2  provide reasonable support and encouragement to enable their team members to perform to an acceptable standard  provide constructive feedback on performance  investigate possible reasons for under-performance and take into account any mitigating factors  allow a reasonable timeframe for improvement in performance.

3.42 HR will monitor the implementation of this policy and will provide professional advice and support to all employees on policy and procedure.

4.0 Compliance

4.1 Employees who do not support this policy and procedure may be subject to disciplinary action.

4.2 Compliance with this policy will be monitored by the Senior Management Team.

sportscotland HR Toolkit – Grievance Policy Last Reviewed December 2012 – version 0.2 5.1 Grievance Flow Chart

Informal meeting with Line Manager (timescale for action - 10 working days) INFORMAL PROCEDURE

MEDIATION If outcome unsatisfactory, formal procedure (Final Outcome) is only initiated if complaint is made in writing

Investigatory Meeting (if appropriate) Investigatory Officer FORMAL Appointed by HR PROCEDU (Only if required) (timescale for action - 10 working days) RE

Grievance Meeting Grievance Officer Appointed by HR (timescale for action - 10 working days)

MEDIATION

(Final Outcome) If outcome unsatisfactory, appeals process is only initiated if made in writing

APPEAL Appeal Meeting (Final Outcome) Appeals Officer Appointed by HR (timescale for action - 10 working days)

sportscotland HR Toolkit – Grievance Policy Last Reviewed December 2012 – version 0.2 6.0 Associated Documents

6.1 APPENDIX 1 – RECORD OF ACTIONS TO BE TAKEN TO INFORMALLY RESOLVE A GRIEVANCE

This form should be completed following initial agreement from an employee to resolve a grievance without invoking the Formal Procedure

This form should be completed following initial agreement from employee to resolve grievance without invoking the Formal Procedure.

Last Name: First Name: Personnel no:

Job Title: Department: Location:

Details of Grievance:

Detail of Action: Person responsible for completing: Date to be completed by:

Employee Signature: Line Manager Signature: Employee Position: Line Manager: Position: Name: Signature: Date: Signature Date:

sportscotland HR Toolkit – Grievance Policy Last Reviewed December 2012 – version 0.2 6.2 APPENDIX 2 - GRIEVANCE ACKNOWLEDGEMENT LETTER

Private & Confidential

Name Address

Grievance re: Allegation of XXX

I am writing to acknowledge receipt of your letter dated XXX advising that you wish to raise a grievance in relation to XXXXXXXX.

I have appointed XXX, XXX to take on the role of Investigating or Grievance Officer in relation to this matter.

XXX will be in touch with you within five working days in order to set up a meeting to discuss the contents of your letter and complaint in greater detail. You have the right to representation throughout the grievance process and I have attached a copy of the policy for your information.

If you have any queries regarding this matter, please do not hesitate in contacting me

Yours sincerely

XX Line Manager cc: HR

sportscotland HR Toolkit – Grievance Policy Last Reviewed December 2012 – version 0.2 6.3 APPENDIX 3 – GRIEVANCE PRO-FORMA

Section 1

Employee Name: ………………………………………… Employee Number: ………………...

Department/Location: ……………………………………………………………………………….

Nature of Grievance: ………………………………………………………………………………...

……………………………………………………………………………………………………………

…………………………………………………………………… Date: ………………………………

Section 2 (if appropriate

Investigating Officer: ……………………………………… Date Passed: ………………………

Date of Meeting: ………………………………………………………………………………………

Outcome: ………………………………………………………………………………………………

Section 3

Grievance Officer: …………………………………………… Date Passed: …………………….

Date of Meeting: ………………………………………………………………………………………

Outcome: ………………………………………………………………………………………………

Section 4

Appeals Officer: …………………………………………… Date Passed: …………………….

Date of Meeting: ………………………………………………………………………………………

Outcome: ………………………………………………………………………………………………

Date file sent to HR Business Partner: …………………………………………………

sportscotland HR Toolkit – Grievance Policy Last Reviewed December 2012 – version 0.2 6.4 APPENDIX 4 – INVITATION TO INVESTIGATORY MEETING (if appropriate)

Name Address

Re: Invitation to Investigatory Meeting

I am in receipt of a copy of your letter dated XXX with regard to the above matter.

I have been nominated as the Investigatory Officer responsible for investigating your complaint. Therefore, I would like to meet with you on XXX at XXX am/pm in the XX office, in order to discuss your grievance in greater detail.

In accordance with our policy you have the right to be accompanied by a Trade Union Representative or work colleague, however, I must advise that it is your responsibility to arrange such representation.

If you are unable to attend this meeting, I must request that you notify me as soon as possible in order that we may agree an alternative date.

In the meantime, if you have any queries, please do not hesitate in contacting me.

Yours sincerely

XX Investigatory Officer cc: HR

sportscotland HR Toolkit – Grievance Policy Last Reviewed December 2012 – version 0.2 6.5 APPENDIX 5 - GRIEVANCE INVESTIGATION REPORT

Details of Person who has raised Grievance: Last Name: First Name: Employee No:

Job Title: Department: Location:

Brief Summary of Grievance:

Resume of the evidence found:

Details of conflicting evidence:

sportscotland HR Toolkit – Grievance Policy Last Reviewed December 2012 – version 0.2 Any other relevant material: (e.g. personal details of the employee(s) and/or any suggestions of, for example, animosity between those involved (which might explain inconsistencies) etc.

Conclusion/Recommendation(s):

Suggested Panel Members: Suggested Appeal Panel Members

Line Manager Signature:

Line Manager Position: Name:

Signature: Date:

sportscotland HR Toolkit – Grievance Policy Last Reviewed December 2012 – version 0.2 6.6 APPENDIX 6 – OUTCOME OF INVESTIGATORY MEETING

Name Address

Re: Outcome of Investigatory Meeting

Following your Investigatory Meeting held on XXX, I have attached a copy of the minutes for your information. Please contact me should you have any queries or concerns regarding their contents.

With regards to the matter of your grievance I must advise you that, due to the seriousness of your allegations, I am still investigating this matter, however, I hope to be able to issue a full response to you as soon as possible.

All investigations have now been completed to my satisfaction and I am able to advise you my recommendation, as Investigating Officer, is that this case moves to a full Grievance Meeting.

You will be notified in writing within five working days by the appointed Grievance Officer with details of the meeting.

Following a full investigation, I have found your allegation to not be substantiated and, therefore, I must advise you that your grievance is unfounded.

In accordance with the grievance procedure, if you are unhappy with these findings, you have the right to escalate it to the next stage provided you confirm it is your intention to do so, in writing, within XXX days of the date of this letter to XXX, XXX Manager.

Please do not hesitate in contacting me should you wish to discuss the contents of this letter or indeed any matter in relation to your grievance.

Yours sincerely

XX Investigating Officer

sportscotland HR Toolkit – Grievance Policy Last Reviewed December 2012 – version 0.2 6.7 APPENDIX 7 – INVITATION TO GRIEVANCE MEETING

Name Address

Re: Invitation to Grievance Meeting

I am in receipt of a copy of your letter dated XXX with regard to the above matter.

Following a full investigation, I have been nominated as the Grievance Officer responsible for meeting you to discuss your complaint further. I would therefore like to meet with you on XXX at XXX am/pm in the XXX office, in order to discuss your grievance in greater detail.

In accordance with our policy you have the right to be accompanied by a Trade Union Representative or work colleague, however, I must advise you that it is your responsibility to arrange such representation.

If you are unable to attend this meeting, I must request that you notify me as soon as possible in order that we may agree an alternative date.

In the meantime however, if you have any queries, please do not hesitate in contacting me.

Yours sincerely

XX Grievance Officer cc: HR

sportscotland HR Toolkit – Grievance Policy Last Reviewed December 2012 – version 0.2 6.8 APPENDIX 8 – OUTCOME OF GRIEVANCE MEETING

Name Address

Re: Outcome of Grievance Meeting

Following your Grievance Meeting on XXX, I have attached a copy of the minutes for your information. Please contact me should you have any queries or concerns regarding their contents.

With regards to the matter of your grievance I must advise you that, due to the seriousness of your allegations, further investigations are required, however, I hope to be able to issue a full response to you as soon as possible.

All investigations have now been completed to my satisfaction and I am able to advise you that your grievance has been upheld and as a result the following action has been taken to resolve the matter….. or your allegation has not been substantiated and, therefore, I must advise you that your grievance is unfounded. In accordance with the grievance procedure you have the right to escalate your grievance to the next stage provided you confirm it is your intention to do so, in writing, within XXX days of the date of this letter to XXX, XXX Manager.

Please do not hesitate in contacting me should you wish to discuss the contents of this letter or indeed any matter in relation to your grievance.

Yours sincerely

XX Grievance Officer cc: HR

sportscotland HR Toolkit – Grievance Policy Last Reviewed December 2012 – version 0.2