ORGANISATIONAL DEVELOPMENT COMMITTEE

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ORGANISATIONAL DEVELOPMENT COMMITTEE

Meeting: Thursday, 22nd March 2007 at 18:00

Committee Room 2

Membership: Cllrs. Hawthorne (Chair), Gravells (Vice-Chair), Hilton, D. Wilson and Smith

1. APOLOGIES

2. DECLARATIONS OF INTEREST

Members and Officers are reminded that at the start of the meeting they should declare any known interest in any matter to be considered, and also during the meeting if it becomes apparent that they have an interest in the matters being discussed.

3. MINUTES (Pages 1 - 2)

Minutes of the meeting held on 2 November 2006 4. FLEXIBLE RETIREMENT POLICY (Pages 3 - 10)

Report by the cabinet Member for Corporate Performance, Finance and Resources 5. GRIEVANCE PROCEDURE (Pages 11 - 34)

Report by the Cabinet Member for Corporate Performance, Finance and Resources 6. DISCIPLINARY PROCEDURE (Pages 35 - 66)

Report by the Cabinet member for Corporate Performance, Finance and Resources 7. SINGLE STATUS AGREEMENT (Pages 67 - 84)

Report by the Cabinet Member for Corporate Performance, Finance and Resources 8. ASSISTANT DIRECTORS PERFORMANCE RELATED PAY

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MEETING : Thursday, 2nd November 2006

PRESENT : Cllrs. Hawthorne (Chair), Gravells (Vice-Chair), Hilton, D. Wilson and Durrant

Others in Attendance

David Clegg, Acting Chief Executive Patience Tsakpo, Head of Personnel Mrs Terry McDougall, Solace Enterprises APOLOGIES : Cllr. Smith

11. DECLARATIONS OF INTEREST

David Clegg, Acting Chief Executive declared a personal and prejudicial interest in Agenda Item 5 and was not present for this item.

12. MINUTES

The Minutes of the meeting held on 21 August 2006 were approved as a correct record.

13. CRITERIA FOR ASSESSING PERFORMANCE PAY FOR THE ASSISTANT DIRECTORS

The Head of Personnel introduced the report which presented to Members an outline framework on Performance Management with Achievement Award Scheme. Following preliminary work and discussions with the former Chief Executive and of late with the Acting Chief Executive and Deputy it was concluded that more time than originally thought was needed for a robust scheme to evolve and therefore at this stage a discussion paper was included. This paper included key considerations that should be taken account of in the development of Performance Management with Achievement Award Scheme. Members were asked to discuss the paper and the broad framework as outlined and to give an indication whether a scheme based on the outlined framework was acceptable for the Council.

Members commented that it was important to ensure that Performance Management with Achievement Award Scheme was robust and incorporated attributes such as transparency, user friendliness, easy to understand, SMART compatible, integral to corporate policy objectives, fair, equitable and flexibly applied, delivered value for money and led to increased productivity.

The extent of member involvement in the review and monitoring of performance was discussed and it was agreed that the Organisational Development Committee would scrutinise the assessment process for fairness and consistency upon the advice of the Chief Executive. Its role would also be to ensure that the process was robust and open and it would have the ability to request a review of the process if it felt that things were not going right. The Head of Personnel outlined the three

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broad areas. There would be common compulsory targets and specific ones within each portfolio.

The specific targets within each portfolio would be aligned to the Blueprint for Change but within that challenging elements would be recommended over and above what Managers are expected to produce. In terms of consultation there would be consultation with individual members of the CMT, collective CMT and CMT would contribute to the development of the model. If successful, the scheme could roll out to Managers’ Forum over time.

RESOLVED

• To note the report.

• To request that officers take the comments of this meeting to inform a comprehensive scheme for further discussion and approval at the next meeting of the Organisational Development Committee.

• That a scheme is developed and implemented by 31 March 2007.

14. DISCUSSION ON ARRANGEMENTS FOR THE APPOINTMENT OF A CHIEF EXECUTIVE

The Head of Personnel reminded Members that the Organisational Development Committee would be fully involved in the selection process and interviews for the position of Chief Executive.

Terry McDougall, Director Solace Enterprises, provided Members with an updated timetable with regard to the selection process. Members were given the opportunity to ask questions about the process and noted that the preliminary shortlisting would take place on 27 November at 6.00 pm.

RESOLVED To note the report.

Time of commencement: 18:00 hours Time of conclusion: 19:15 hours

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Gloucester City Council

COMMITTEE : Formal CMT

Organisational Development Committee Cabinet Briefing Employee Forum DATE : 6thFebruary 2007-01-19 22ndMarch 21stFebruary 29thMarch

SUBJECT : Flexible Retirement Policy

DECISION TYPE : Key

WARD : All

REPORT BY : Gill Bourton

NO. OF APPENDICES : One

REFERENCE NO. :

1.0 PURPOSE OF REPORT

1.1 To propose a draft policy statement on how the new Flexible Retirement Regulation within the Local Government Pension Scheme (LGPS) will be implemented.

2.0 RECOMMENDATIONS

2.2 That Managers and Members note the report and the provisions of the new Flexible Retirement Regulations within the LGPS

2.3 That manages and members discuss and comment on the draft Flexible Retirement Policy

2.2 That Members give approval to the Flexible Retirement Policy subject to comments made.

3.0 BACKGROUND

3.1 Central Government introduced changes to the LGPS which came into effect on 1st April 2006, albeit that guidance was not provided by the Local Government Employers (LGE) until January, 2007. The changes phase out the 85-year rule and, amongst other things, introduced a new option of flexible retirement – the detail of this option can be found in Regulation 35 (1A). Before the County Council, as our administering authority, can action any requests for flexible retirement from us they need to have a copy of our agreed policy.

3.2 The flexible retirement option would allow an employee, with employer consent, to draw their pension from age 50 but to remain at work, however in order to do so they need to reduce their salary by either reducing hours or grade. The employee must have 3 or more months membership, or have transferred other pension rights into the LGPS.

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through the application of pay awards.

3.4 There will be a strain on Fund cost to be met by the employer who agrees to the release of benefits on flexible retirement prior to age 60 where the member has either already met the 85 year rule or would meet the rule before age 60. The employer may waive part or all of the reduction applied to the pension on Flexible Retirement subject to payment of the cost of the waiver as calculated by the Fund’s Actuary.

3.5 The employee would be allowed to remain in the LGPS during their continuing employment and would therefore accrue further pension benefits (in effect they would be starting a new contribution record and would draw on this second pension when they finally retire). The Department for Communities and Local Government (DGLE) have issued draft regulations which, if confirmed, would mean that the membership relating to the benefits being drawn will count in the continuing employment towards the minimum period needed to be entitled to benefits and the period needed to be entitled to an enhanced ill health pension but would not count towards the Rule of 85. This could constitute a risk to the employer if they did not make the employee aware of the fact that benefits arising from future membership would be subject to an actuarial reduction if taken before age 65 – advise is therefore given in the draft policy statement...

3.6 The abatement rules do not apply where people elect to take flexible retirement. (Abatement rules mean that if an employee who is drawing their local government pension then starts work for another, or the same, employer their pension payments will have to be reduced if they earn more in this new job than they were previously earning in the old).

3.7 It is likely that the employee taking flexible retirement would receive a reduced pension as they are taking their pension early. The new rules allow the employers the discretion to waive the pension reduction on compassionate grounds. However the costs of this are likely to be significant and would only be considered in very exceptional circumstances (see appendix 1).

3.8 Any employee can still elect to retire from aged 60 onwards as currently - they do not need employer consent. In these circumstances the employee would normally suffer a reduction in pension benefits (as normal retirement age is 65) unless their retirement was supported by the council under either Scheme 1 (redundancy) or Scheme 2 (interest and efficiency) - however all retirements under the Flexible Retirement Provisionsdoneed employer consent

3.9 Flexible retirements could benefit the council in several ways including

i By allowing us to retain valued members of staff and by enabling better succession planning.

ii Be an effective means to reduce capacity

iii Help to avoid redundancies and the associated strain on fund pension costs and redundancy payments / compensation costs

iv Enable the employer to retain or attain a balanced age profile within the workforce

v Enable the transfer of skills or knowledge

vi Facilitate the retention of expertise, knowledge and contacts vii Help alleviate burn out and stress

viii Offer flexibility and productivity associated with part time working. 3.10 It could also benefit employees by allowing them to

i Adjust to retirement gradually over a period of time. ii Keep mentally and physically active

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flexible retirements and these need to be fully considered before any recommendations or decisions are made.

3.12 The implications of the Age Discrimination Legislation will also need to be considered when contemplating any requests. We may be open to challenge if we agree to some but not all requests where there is a strain on Fund cost to be met by the employer. Also, for members who join the scheme after 1stDecember, 2006 we would need, if challenged, to be able to objectively justify cases where we waive all or part of the actuarial pension reduction.

3.13 In order to help us manage requests for flexible retirement we would need to consider the business case, any advantages or disadvantages to the service unit, and the implications of Age discrimination (and other) legislation.

4.0 PROGRESS

4.1 Our regulation 31 (Rule of 85) policy is as follows:

‘That the Council, as employer, consider each request on its individual merits when any employee aged 50-59 years elects to retire under Regulation 31’.

4.2 It is proposed that our flexible retirement policy statement should mirror how we deal with Rule of 85 requests – but also that in order to achieve consistency the policy should also give some guidance on factors to take into consideration in applying the policy. A draft policy is included at Appendix 1.

5.0 FUTURE WORK

5.1 The policy statement on Regulation 35 (A) Flexible Retirement needs Elected Member approval before it can be issued to the Administering Authority (Gloucestershire County Council). We will then be able to consider individual requests from employees for flexible retirement.

5.2 We will need to update our personnel manual and other documents to reflect this policy change.

5.3.1 We are also working on producing a retirement handbook, which will give guidance to managers and staff on handling retirement issues.

5.4 We are planning to run a 2-day workshop in April this year aimed at helping managers to better understand the pension scheme and the various retirement options within the scheme.

6.0 CONCLUSIONS

6.1 A policy statement is needed in order for us to fully comply with the new LGPS regulations.

6.2 The policy also needs to cover the operational implications of agreeing to requests, and needs to be sufficiently detailed to enable fair and consistent decisions to be made.

7.0 FINANCIAL IMPLICATIONS

7.1 It is difficult at this stage to calculate the likely cost to the authority of allowing flexible retirement as this will depend to a large extent on the individuals

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may wish to consider the conditions which could be attached to such approval i.e the saving in salary covers the additional pension cost incurred by the employer over a reasonable period of time in a similar manner to how we consider early retirements currently

7.2 Name of the Officer: Nigel Kennedy 8.0 LEGAL IMPLICATIONS

8.1 The amendment to the local government pension regulations requiring employers to formulate and publish their policy on flexible retirement came into force on 1 October 2006. Technically, therefore, employers should have had a policy from that date. There is no provision in “the Amendment Regulations” allowing a period of grace of, say, 6 months to determine and publish a policy.

When formulating the policy employers must have regard to the extent to which the exercise of the discretion could lead to a serious loss of confidence in the public service. A copy of the policy must be sent to the administering authority within one month of the date on which the policy is determined

8.2 Name of the Officer: Stephen Thomas

9.0 RISK MANAGEMENT IMPLICATIONS There is little or no risk to the authority connected with the recommendation on this report’(

10.0 PREDICTIVE IMPACT ASSESSMENTS (EQUALITIES) - attached.

11.0 OTHER CORPORATE IMPLICATIONS 1. Community Safety (Author to complete)

None

2. Environmental (Author to complete) None

3. Staffing (Personnel to complete) Covered in the Report

4. Trade Union (TU to complete)

Due to current circumstances regarding the union, we do not have the capacity at the present time to supply implications for this report.

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Background Papers : None Published Papers : None

Person to Contact : Gill Bourton Tel: 396910

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Proposed Policy and Principles on Flexible Retirement

1. All requests for Flexible Retirement must be approved by the Council. The Council will consider each request for flexible retirement on its individual merits.

2. As with other early retirements the Service Unit needs to be able to demonstrate a sound business case in supporting a request from an employee – e.g. effectiveness and efficiency gains and financial savings. 3. The council may waive part or all of the reduction applied to the pension on

Flexible Retirement with the costs being met by the Council. This will only be agreed in exceptional circumstances such as on financial and compassionate grounds. An example might be where the employee needs to take on a significant role as carer for a close family member who is in need of high levels of care due to suffering an illness or disability, and where doing so would result in financial hardship.

4. Where we are proposing to allow the employee to retire without suffering all or part of the reduction in pension, the manager, in addition to having a sound business case, would also need to demonstrate that the service is able to meet both the immediate and the ongoing costs of the early retirement.

5. Where the employee is proposing to reduce hours of work this must be by a minimum of 25% and a maximum of 75% and the service unit must be satisfied that effective service delivery can still be maintained. Hours may be reduced in the same or a different job. If it is a different job then there must be a vacancy and the employee must apply in the normal way. The service unit again must be satisfied that the job can effectively be achieved on reduced hours. All conditions of service including annual leave will be recalculated on a pro rata basis to take account of the reduction.

6. Where the employee wishes to reduce salary, they must successfully apply through the normal recruitment process for a job that has been advertised and is vacant.

7. In either situation, provided there is no break in service, their length of service will be considered to be continuous.

8. Employees are advised to take advice to obtain information and guidance from the pensions department and/or an independent source before deciding to take this option. Employees should be aware that their pension benefits are taxable income.

9. Employees should also be made aware that they will be given the option to continue paying into the LGPS and that this will in effect be starting a new and different membership contribution record. Current draft regulations, if confirmed, would mean that the membership relating to the benefits being drawn will count in the continuing employment towards the minimum period

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enhanced ill health pension but would not count towards the Rule of 85. Employees are advised to check the implications of this from the Pensions Department.

Application Procedure

1. Applications for Flexible Retirement must be made in writing to the employee’s line manager giving details of the proposed new working arrangements. The application should state whether they are applying to take a reduction in salary or to reduce their working hours in the same job role. If the employee wishes to take a reduction in salary they may only do so by applying for a vacant post.

2. If the employee wishes the council to consider waiving any or all of the pension reduction they must outline their reasons for the request - employees should be advised that this would only be supported in exceptional circumstances. Employees are recommended to seek information and guidance from the Pensions Department before making any requests. The Pensions Department will only be able to give information and guidance on options available within the LGPS – employees therefore may also wish to seek further advise from an Independent Financial Advisor before making any decisions.

3. The line manager should liaise with Corporate Personnel Services in order to obtain figures and costs from the Pensions Department (Gloucestershire County Council).

4. If the line manager wishes to support the application he/she must propose a business case giving details of savings to be made, efficiencies to be gained, whether or not they can support the request for waiving the pension reduction, and if so how any costs will be met. In order to meet approval the Service Unit must be able to meet the full capitalised costs of the early retirement within a 3 year period (spreading the cost over the 3 years will mean that a factor needs to be applied to the capitalised cost). The line manager should consult with Corporate Personnel Services for advice and support.

5. Where the employee is proposing to reduce hours of work this must be by a minimum of 25% and a maximum of 75% and the service unit must be satisfied that effective service delivery can still be maintained. Hours may be reduced in the same or a different job. If it is a different job then there must be a vacancy and the employee must apply in the normal way. The service unit again must be satisfied that the job can effectively be achieved on reduced hours All conditions of service including annual leave will be recalculated on a pro rata basis to take account of the reduction.

6. Where there are no cost implications the request and business case will be considered by the appropriate Head of Service, or for senior posts the Chief Executive or Assistant Director, and a decision made. Where there are cost implications the request will be heard by the justification panel.

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Gloucester City Council

COMMITTEE : CMT Employee Forum Cabinet Briefing OSM OD Committee DATE : 6 February 2007 29 March 2007 4 April 2007 16 April 2007 22 March 2007

SUBJECT : Grievance Procedure

WARD : All

REPORT BY : Corporate Personnel Services

AUTHOR Brian Long

NO. OF APPENDICES : 1

REFERENCE NO. :

1.1 To propose a revision to the grievance procedure to comply with the Disputes Resolution Regulations 2004 and ACAS guidance.

2.1 That the attached revised grievance procedure be adopted.

3.1 The current grievance procedure has been in place for approximately 13 years and has been overtaken by legislation and case law.

3.2 The Dispute Resolution Regulations identify the necessity for a 3-step process plus one appeal. In addition, there is a requirement for a modified process in connection with leavers. Case law has redefined what constitutes a grievance as regards leavers, and ex-employees can now raise grievances.

3.3 The Council’s previous procedure did not specify how a grievance should be dealt with at Director level, and due to restructuring, contained conflicting roles for the Assistant Director, Legal Democratic and Personnel Services.

3.4 This is the first in a series of procedures to be reviewed in the light of changed legislation, the needs of the organisation, and revised ACAS guidance. The

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and new procedures introduced on Dismissal and Capability.

3.5 This procedure must link with revised Harassment and Bullying, and Disciplinary procedures.

4.1 The attached draft grievance procedure aims to: • Simplify the process and explain it more clearly

• Give appropriate consideration to the person or persons who have been ‘accused’ • Align the procedure with ACAS guidance

• Ensure the council complies with legislation • Reduce requirement for Member Level Hearings

• Align the procedure with draft revisions to other procedures • Encourage informal resolution of grievances

4.2 The draft procedure accommodates the revised statutory and ACAS requirements detailed above, together with case law precedents, compliance with which will protect the Council from successful tribunal claims and enhanced awards.

4.3 The role of the Assistant Director, Legal Democratic and Personnel Services has been clarified to avoid conflict with the procedure. This will result in a review of the constitution by Democratic Services (??)

4.4 The procedure now covers grievances at Director level.

5.0 FUTURE WORK

5.1 The procedure is scheduled for Employee Forum on 29 March. However, extensive internal consultation, to include Unions, has already taken place.

5.2 Once adopted, Members and managers must attend awareness sessions on the key points.

6.0 CONCLUSIONS

6.1 There is a requirement to ensure the Grievance Procedure is compliant with current legislation, case law and the Council’s constitution.

7.0 FINANCIAL IMPLICATIONS

7.1 There are no financial implications arising from the recommendations in paragraph 2.1 and 2.2 of the report.

7.2 Name of the Officer:Janet Parrott 8.0 LEGAL IMPLICATIONS

8.1 The Code of Practice clearly states that it is important to ensure that everyone in the organisation understands the grievance procedures including the statutory

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trained in their use. Employees must be given a copy of the procedures or have ready access to them, for instance, on the intranet. The Council should also include them with the disciplinary procedures as part of the induction process.

Stephen Thomas

8.2 Name of the Officer:

9.0 RISK MANAGEMENT IMPLICATIONS (Authors to complete) Identify all key risks (scoring 8 and above) for the recommendation including the impact and likelihood of the risk occurring and what measures will be taken to mitigate the risk.

• High risk identified of the monitoring process not be adopted, based on historic data. • This means the Council will not report BVPIs correctly, and fails in its General Duty

with respect to race, gender and ethnicity monitoring requirements under the relevant legislation. Impact 4. Likelihood 3

• Measures that can be taken to mitigate are awareness training for managers, and effective performance management of managers.

10.0 PREDICTIVE IMPACT ASSESSMENTS (EQUALITIES) (Authors to complete) Identify all risks for customers and staff, in the areas of gender, disability, age, race, religion, sexual orientation etc.

Issues around disability (ability to read / understand papers) have been addressed. The same concern and solution may apply to ethnicity if English is not a first language. Members of staff who may have difficulty in placing grievances in writing due to disability or language barriers have also been considered.

Staff with caring responsibilities may not be able to attend meetings at certain times, but there is flexibility within the procedure on arranging meetings.

Where a Panel is convened, consideration must be given to ensuring it is balanced, and any cultural sensitivities, having due regard to the nature of the grievance.

There is a general statement for the Chair to ensure the ability for understanding and participation for all parties.

11.0 OTHER CORPORATE IMPLICATIONS 1. Community Safety (Author to complete)

The duty to monitor hate crimes (which has a broad definition) will be upheld if the monitoring process within the procedure is followed. Not adhering to this procedure could result in the under reporting of hate crime (a BVPI).

2. Environmental (Author to complete) None

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Officer time to deliver procedural requirements and participate in awareness training sessions

Brian Long

4. Trade Union (TU to complete)

Due to the current circumstances regarding the union, we do not have the capacity at the present time to supply implications for this report

Ivan Hughes, on behalf of Unison

Background Papers : Predictive Impact Assessment

Published Papers : ACAS Code of Practice Disciplinary and Grievance Procedures

Employment Act 2002 (Dispute Resolution) Regulations 2004

Person to Contact : Brian Long Tel: 396905

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APPENDIX 1 DRAFT

(March 2007) GRIEVANCE PROCEDURE

Purpose

This procedure is based upon the ACAS Code of Practice on Disciplinary and Grievance Procedures, and incorporates the requirements of the Employment Act 2002, and the Dispute Resolution Regulations 2004.

The aim of the procedure is to promote effective employee relations by providing a mechanism for resolving grievances as swiftly and amicably as possible. The

procedure provides a framework for constructive discussion and the use of a problem solving approach.

Managers and individuals should, wherever possible, work to achieve a mutually acceptable solution to all grievances without recourse to the formal procedure (stage 2).

Timing

ACAS anticipate that the formal grievance process (stage 2), including an appeal, should be completed within twenty-eight days (not working days). This may be difficult to achieve having regard to; arranging mutually agreeable times for hearings, perhaps the necessity for an investigation, arranging any provision for equitable and fair participation, and the possible postponement of hearings for legitimate reasons. The process should be completed as quickly as possible, within a reasonable timeframe dependent upon the circumstances. Managers must ensure that they keep comprehensive documentation of the entire process, including requests for postponement of hearings and the reasons. There should be documented mutual agreement to extend time periods within the procedure where this will be necessary to ensure the procedure is completed correctly and fairly.

The procedure does not need to be followed if circumstances beyond the control of either party prevent one or more steps being followed within a reasonable period. This will sometimes be the case where there is long-term illness or a long period of absence abroad. If these circumstances apply, the procedure will be deemed to have been complied with or not apply, but in the case of the Chair, wherever possible another Chair should be appointed to deal with the matter.

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Managers must have due regard to the following timeframes within the procedure, which refers to 5 day periods as working days:

Procedural step Timeframe

Informal complaint made to manager (stage 1)

Response by manager in writing. Within 5 days

Formal grievance lodged (stage 2) (Starts the 28 day clock – not working days)

Investigation (may not be necessary)

Notice of grievance hearing Minimum 5 days notice Right to postpone if representation not

available

Maximum 5 days from original proposed date of hearing

Grievance hearing Arranged within a reasonable time from receipt of written grievance

Notification of outcome Within 5 days

Lodge appeal (stage 3) Within 5 days of notice of outcome Notice of appeal hearing Minimum 5 days notice

Right to postpone if representation not available

Maximum 5 days from original proposed date of hearing

Appeal Arranged within a reasonable time from

receipt of appeal letter

Notification of outcome Within 5 days (end of 28 day clock) For formal grievances against the Chief Executive or a Strategic Director:

Procedural Step Timeframe

Formal grievance lodged with the person against whom the grievance is made (invokes Member Level Hearing)

Starts the 28 day clock – not working days

Subject of grievance forwards it to

Assistant Director Legal, Democratic and Personnel Services

Within 2 working days

Assistant Director Legal, Democratic and Personnel Services, acknowledges receipt to grievant.

Within 3 working days of Assistant Director receiving grievance. Investigation (may not be necessary)

Assistant Director Legal, Democratic and Personnel Services to arrange Member Level Hearing. This needs to be done in conjunction will all parties.

Preferably within 10 working days, but no later than 28 days of grievance being lodged, unless written agreement is obtained from the grievant.

Statement of facts submitted to Assistant Director Legal, Democratic and

Personnel Services by both sides.

Minimum 6 working days before hearing

Official notice of Hearing and circulation of papers

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Right to postpone if representation not available.

Maximum 5 working days from original proposed date of hearing.

Member Level Hearing

Outcome communicated in writing by Assistant Director Legal, Democratic and Personnel Services

Lodge appeal (invokes Organisational Development Committee Hearing)

Within 5 working days of written notice of outcome

Assistant Director Legal, Democratic and Personnel Services to arrange

Organisational Development Committee Hearing. This needs to be done in conjunction will all parties.

Within a reasonable period, but with due regard to the 28 days (grievance hearing and appeal) recommended by ACAS, unless written agreement is obtained from the grievant.

Official notice of Organisational

Development Committee Hearing and circulation of papers

Minimum 5 working days

Right to postpone if representation not available.

Maximum 5 working days from original proposed date of hearing.

Organisational Development Committee Hearing

Outcome communicated in writing by Assistant Director Legal, Democratic and Personnel Services

Scope

The procedure will not apply in certain circumstances e.g. disputes over pensions, matters relating to statutory deductions from pay outside the remit of the Council etc. It is also not applicable to incidents that happened more than three months ago, unless those incidents are part of a clearly identifiable, cumulative set of

circumstances.

Frivolous, vexatious or malicious use of the procedure can be extremely harmful and disruptive to all involved and may lead to disciplinary action being taken against the member of staff who has made the complaint. A complainant should propose the reasonable remedy they are seeking at the outset.

All grievances will be dealt with fairly and consistently. It is recognised that an

employee may wish to raise a grievance against their manager. However, it must be recognised that a manager’s duty is to manage and this may mean them having to take difficult decisions in relation to a member of staff or group of employees. The grievance procedure should not be used merely as a ‘counter attack’ in this situation. An employee who is currently subject to another procedure e.g. disciplinary,

performance management, attendance management etc., may raise a grievance at the same time as that procedure is progressing, but this will not normally prevent the procedure, or an investigation associated with it, from continuing. Advice should be sought from Corporate Personnel Services.

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A grievance may be raised by an individual employee or a group of employees. In the case of a group of employees it is advisable to elect a spokesperson to represent the group at meetings or hearings.

Informal approach Stage 1

An employee with a complaint can usually resolve the issue by adopting an informal approach, discussing it with their line manager or their colleague(s). In cases where there are difficulties between work colleagues, the aggrieved party should attempt to raise the issue with that colleague. However, in some circumstances this may not be possible or appropriate. It may therefore be more suitable for the employee to

informally discuss the matter with their line manager, or the next level of management if the matter concerns their line manager. In considering what approach to take, a member of staff may wish to discuss the matter with an EARS counsellor or Personnel Officer. If the complaint concerns harassment or bullying, members of staff are also referred to the Harassment and Bullying Procedure. Informal complaints should normally be made to the complainant’s line manager (except as outlined above) and do not have to be in writing. However, managers should respond to complaints made under stage 1 within five working days, and confirm the decision in writing. It is essential that the line manager ensures a decisive reply is given to the employee. It must be emphasised that the majority of complaints should be resolved at this stage. Exceptionally, there may be delay due to illness, etc., in which case the complainant has the option of moving to stage 2 at the next level of management.

ACAS guidance and case law indicate that if a manager, including the immediate line manager, receives any complaint in writing from a member of staff relating to their employment, it must be regarded as a formal grievance (stage 2). However, it is recognised that some members of staff may choose to voice a complaint in writing but wish to seek informal resolution. If any written complaint is received that does not refer to the outcome of a stage 1 process, the relevant manager must

immediately discuss with the complainant how they wish to proceed, i.e. are they seeking an informal resolution or do they wish to invoke stage 2. The manager must ensure that they keep a record of this meeting and the employee’s decision.

In most cases, members of staff will be expected to adopt the informal approach to resolving disputes and avoiding conflict, before considering the formal step of raising a grievance. Staff will be expected to behave in a professional manner throughout the process, giving due respect to others views and feelings.

In relation to recruitment, stage 1 complaints must be referred to the Chair of the recruitment panel. Formal complaints, stage 2, should be addressed to the next level of management.

In the event of a failure to determine the issue at stage 1, an employee may formalise the grievance by moving to stage 2 of the procedure.

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Formal approach Stage 2

The purpose of the formal procedure is to provide a structured approach to facilitate problem solving, to ensure the nature of the grievance is fully understood by both parties, and to explore all possible options for a mutually acceptable resolution. A grievant must raise the issue by putting it in writing, addressed to the next level of management than that involved at stage 1, within five working days of the written response to the informal approach. If a manager receives a written complaint about their self, they must refer it to the next level of management.

Under discrimination legislation, an employer may have a duty to assist employees in formulating a written grievance if they are unable to do so themselves due to a

disability or language barrier.

In cases where a written complaint is made against a Strategic Director, or the Chief Executive, a Member Level Hearing will be convened to hear the grievance. In this case the complaint should be addressed to the person against whom the grievance is made. It must then be forwarded to the Assistant Director Legal, Democratic, and Personnel Services within two working days, to arrange the hearing. The Assistant Director Legal, Democratic and Personnel Services will acknowledge receipt of the grievance to the grievant within three working days of it being passed to them. All written grievances must specify:

• The grievance

• The reasons why the employee considers that the grievance has not been dealt with satisfactorily at stage 1

• The reasonable remedy they are seeking

The appropriate manager should Chair a hearing within a reasonable time of the grievance being placed in writing. Due regard must be given to ensuring any papers are distributed with sufficient time for them to be read and understood. A hearing may be delayed if an investigation is required.

The Chair of a grievance hearing should be trained in the grievance procedure. Depending on the nature of the grievance, the manager receiving the letter

requesting a formal hearing may decide that an investigation is necessary. If this is the case they will delegate this to an appropriate person who will produce a report for the manager. The investigating officer can be called upon to present their findings at the grievance hearing. If a grievance is about another member of staff, the member of staff who is the subject of the grievance may refuse an investigation interview, preferring just to attend the grievance hearing. In this case the investigating officer would proceed to interview others who have knowledge of the situation. The person who is the subject of the grievance should be encouraged to participate in the

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investigation as this may mean that the matter can be resolved more quickly. (See supplementary guidance on investigating a grievance).

In exceptional circumstances, the grievance may allege gross misconduct or

negligence. In these circumstances the disciplinary procedure must be invoked as it may be necessary to immediately suspend a member of staff and conduct a

preliminary investigation.

The grievant will be given at least five working days notice of a grievance hearing, in writing, by the Chair.

The letter shall state:

(a) the reasons for the hearing i.e. the substance of the complaint and, if appropriate, the conclusion of the previous stage;

(b) the date, time and location of the hearing which should be negotiated with all parties to ensure that it is mutually convenient. The meeting should be as soon as practically possible;

(c) that the hearing provides both parties an opportunity to present their case; (d) that the hearing may be adjourned for further investigation;

(e) that any papers that either side wish to use at the hearing should be sent to the Chair, prior to the hearing, for circulation

(f) a grievant or a person who is the subject of a grievance, both have a right to be accompanied by a trade union representative or colleague. This is to be arranged by the relevant party.

(g) the make up of the Panel. The Chair may wish to invite a Personnel Officer to attend. The Personnel Officer should not have had any previous involvement in the case. The role of the Personnel Officer is to help facilitate the hearing to ensure that the process is fair and to advise on possible solutions. If a Panel is convened, dependent upon the nature of the grievance, due consideration should be given to the profile of the Panel to make it representative or take account of cultural sensitivities.

If the employee has difficulty reading, or if English is not their first language, the Chair should ensure they understand the content of the letter.

A party requiring representation at a hearing can request in writing that it is

postponed for up to five working days if representation is not available to them on the proposed date of the hearing.

In cases where the grievance is about a colleague, the subject of the grievance will be informed of the grievance upon receipt of it by the relevant manager, and will be given at least five working days notice of the hearing in writing by the Chair.

The Panel may call upon Democratic Services to make arrangements for an independent party to record proceedings.

The outcome of the grievance hearing should be communicated in writing, to the relevant parties involved, within five working days. If it is not possible to respond within five working days the grievant should be given an explanation for the delay

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and advised when a response can be expected. The letter describing the outcome of the hearing shall state:

(a) The response to the grievance and any action that will be taken (b) The justification for the response

(c) The right to appeal the response within five working days to the next level of management

(d) The right to representation at an appeal hearing

Copies of hearing records will be forwarded to the relevant parties within five working days. In certain circumstances (for example to protect a witness) some information may be omitted. It should be explained that these records are confidential.

The chair of the hearing should send a Formal Grievance or Appeal Procedure Monitoring Form to the Personnel Officer (Equalities)

Appeal Stage 3

If the grievant is not satisfied with the outcome of the stage 2 process they have a right of appeal. They must place their reasons for the appeal in writing within five working days of the date of the letter from stage 2. The letter should outline the grounds for appeal and be addressed to the Chair of the grievance hearing. Within two working days of receipt of the appeal, the Chair must nominate the appropriate level of management to hear the appeal. The appeal would normally be heard by the next appropriate level of management.

Under discrimination legislation, an employer may have a duty to assist employees in formulating a written appeal if they are unable to do so themselves due to a disability or language barrier.

The Chair of the Appeal Panel will arrange for the hearing to take place within a reasonable time, from receipt of the appeal letter, and with regard to the expectation to have completed the grievance and appeal hearings within a twenty-eight day timeframe. The Chair must ensure that all parties receive all the relevant details and paperwork. Employees must be informed of their right to be represented by a trade union official or work colleague.

Where an appeal is against the decision of a Member Level Hearing (Strategic Directors and Chief Executive only), the appeal will be to the Organisational Development Committee.

The appellant will be given at least five working days notice of the hearing in writing by the Chair.

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(a) the date, time and location of the appeal which should be negotiated with all parties to ensure it is mutually convenient;

(b) that the appeal provides an opportunity for the parties to present their case; (c) that the appeal may be adjourned for further investigation.

(d) that the employee may be accompanied by a trade union representative or colleague. This is to be arranged by the employee.

(e) the make up of the Panel. The Chair may wish to invite a Personnel Officer to attend. The Personnel Officer should not have had any previous involvement in the case. The role of the Personnel Officer is to help facilitate the hearing to ensure that the process is fair and to advise on possible solutions. If a Panel is convened, dependent upon the nature of the grievance, due consideration should be given to the profile of the Panel to make it representative or take account of cultural sensitivities.

The Panel may call upon Democratic Services to make arrangements for an independent party to record proceedings.

The outcome of the appeal hearing should be communicated in writing to the relevant parties involved within five working days. If it is not possible to respond within five working days the employee should be given an explanation for the delay and advised when a response can be expected. The letter describing the outcome of the hearing shall state:

(a) The response to the appeal and any action that will be taken (b) The justification for the response

(c) That the appeal was the final stage of the grievance procedure

The Chair of the hearing should send a Formal Grievance or Appeal Procedure Monitoring Form to the Personnel Officer (Equalities)

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Modified Grievance Procedure

Legislation has introduced a modified grievance procedure to be used where a written grievance is raised as an employee leaves an organisation or after they have left, and it is not practical to invoke the normal grievance procedure, although it must be resolved within twenty-eight days. Any written complaint may constitute a

grievance even if the words complaint or grievance are not used e.g. a notice letter or leaver feedback that is negative. If in doubt refer to Corporate Personnel Services. The grievant must place their complaint in writing and give the basis for the

complaint.

A written agreement must be obtained from the ex-employee that the modified procedure will be used. If this is not obtained the normal procedure applies (invited to a hearing, right of appeal etc.).

The appropriate manager (line manager or line manager’s manager) must investigate the complaint and respond in writing stating:

There is no appeal to this procedure.

The manager should send a Formal Grievance or Appeal Procedure Monitoring Form to the Personnel Officer (Equalities)

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SUPPLEMENTARY GUIDANCE FOR THE GRIEVANCE PROCEDURE.

General

Everyone involved in the grievance procedure is expected to carry out their roles with respect for all concerned with regard to sensitivity and confidentiality.

The procedure should be worked through as quickly as possible. In cases where grievances are raised against colleagues:

• Both the grievant and the person who is the subject of the grievance will be allowed access to advice, help and support from colleagues, trade union representatives, and internal and external counsellors if they wish.

• Where two parties in dispute work closely together, consideration should be given as to how to handle the working relationship whilst the process is taking place.

• Help, advice and support will be provided either through Corporate Personnel Services or from external facilitators where it is thought necessary in order to help rebuild relationships following a grievance.

• Where either party takes sick leave during the process, a decision needs to be taken on how to proceed. The likely length of absence and nature of the illness need to be considered along with the effect on both parties of prolonging the process. The matter should be referred to Corporate

Personnel Services for advice on how to proceed. The procedure does not have to be followed if circumstances beyond the control of either party prevent one or more steps being followed within a reasonable time period. However, if circumstances change such that the grievance could be progressed and the complainant remains aggrieved, they can resume the process.

In cases where relevant parties may have difficulty in understanding documentation or proceedings, the relevant manager or the Chair should ensure that arrangements are made to ensure participants’ needs are met e.g. by supplying documents in alternative formats, arranging for interpreters, suitable room for the hearing etc.

Investigating a grievance

Prior to a hearing, a line manager (or in the case of a complaint against a line

manager, their manager), may decide that an investigation is appropriate where there is a dispute between members of staff and there have been witnesses to the alleged offence or where the alleged offence is likely to be associated with material facts that may be uncovered. There may also be other circumstances where an investigation is seen to be appropriate and each case should be judged on its individual merits. It may be necessary to obtain the advice of a Personnel Officer

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Investigating officers must be impartial and of sufficient authority and competency to interview witnesses. They should be able to act in a discreet and sensitive manner. In investigating certain allegations, consideration may have to be given to the

characteristics of the investigating officer e.g. if the allegation concerns sexual

harassment of an Asian female, it may be inappropriate for a male to investigate due to cultural sensitivities.

The investigating officer will prepare a brief report outlining their investigation, findings or conclusions, and this will be circulated to the relevant parties along with any other paperwork that is being presented.

Investigations into grievances should be regarded as formal investigations involving the collection of signed witness statements. This avoids an investigating officer having to re-interview witnesses if the result of the grievance investigation is that the grievance procedure is not applied due to it being necessary to hold a disciplinary hearing involving a formal investigation. Members of staff are entitled to

representation at formal investigation interviews

The person who is the subject of the grievance may refuse an investigation interview, preferring just to attend the grievance hearing. In this case the investigating officer would proceed to interview others who have knowledge of the situation. The person who is the subject of the grievance should be encouraged to participate in the

investigation as this may mean that the matter can be resolved more quickly.

The person bringing the grievance may be involved in an investigation for purposes of giving additional detailed information supporting allegations. If they refuse to give the information, the employee’s conduct would be treated as an act of failing to comply with the grievance procedure and there would be no obligation to hold a grievance hearing. This should be explained to the employee, and the employee offered the chance to reconsider. A refusal to participate in an investigation must be documented.

When obtaining witness statements, the investigating officer should ascertain whether the witness:

• Will give a statement but wishes to remain anonymous • Is willing to be named but not participate in a hearing • Would be willing to participate in a hearing

Dependent upon the circumstances (whether a witness could be identified), the investigating officer will have to make a judgement on whether a statement is admissible if the witness wishes to remain anonymous.

Regard to the following points should be given when collecting formal witness statements.

(a) Make arrangements to see each witness concerned in a private and confidential setting. Ask the witness to make a written and signed statement that can be used as part of the evidence.

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(b) Ask the witness to make a signed statement in writing as to whether or not they are prepared to give evidence if required at a grievance or disciplinary hearing.

(c) If necessary take photographs of damage to plant or shoddy workmanship.

(d) Ensure that provision is in place to meet any needs e.g. translation services etc.

The intent at the grievance hearing is to rely on statements. Therefore, the calling of witnesses should be exceptional. Witnesses can be reassured that support is

available to them if they believe that they will suffer detrimental treatment as a result of giving a statement. Victimisation is a form of harassment and bullying which can be dealt with under the Harassment and Bullying Policy. The Council’s counselling services are also available to witnesses.

The commissioning manager, having considered the investigating officer’s report, may decide that a disciplinary hearing is appropriate. It is usually necessary to consult a Personnel Officer in these circumstances. If it is appropriate to hold a disciplinary hearing, the manager will refer the matter to the next level of

management and will not Chair the disciplinary hearing, as they will present the management case in a disciplinary hearing.

The Grievance Hearing

The process shall be conducted on a formal basis, and the Chair shall adjudicate on procedural issues relating to the conduct of the hearing. The Chair shall also be responsible for arranging that the hearing be conducted at a time that is mutually acceptable to both parties, and for circulating papers to all parties. If a Panel is convened, dependent upon the nature of the grievance, due consideration should be given to the profile of the Panel to make it representative or take account of cultural sensitivities.

In order to assist either party to fully present their case, the Chair may be flexible and vary the order of the proceedings, set out below, with the agreement of all the parties concerned at the hearing. The Chair should take any necessary action to ensure a fair and orderly hearing. However, it can be intimidating to the uninitiated and Chairs should remember that the purpose is to enable an informed decision to be taken on the merits of the case.

No Chair will hear a case in which they have a personal involvement e.g. being closely related to, or having a strong social relationship with, another party etc. The Chair shall commence the proceedings by stating the reasons for the hearing being held and introduce the people present.

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The Chair shall then confirm the presence or absence of the parties to the case and any representation. At the discretion of the Chair the hearing may be postponed by reason of the absence of any of these persons. Failure by the grievant to attend absolves an employer of any further obligation to comply with the procedure unless unforeseeable circumstances prevent attendance. If the hearing is abandoned on two occasions because of failure to attend by the grievant or their representative through unforeseen circumstances, the procedure can be deemed to have been completed and complied with fully. Any second meeting should be arranged within five working days of the first, provided there are no foreseeable circumstances that would prevent it from taking place.

Where a grievance is against another employee and that employee fails to attend without good reason, the hearing may continue based on the evidence available. However, the Chair has the discretion to postpone the hearing dependent upon the circumstances.

The intent at the hearing is to rely on statements. Therefore, the calling of witnesses should be exceptional.

The aggrieved employee or their representative will present their case first, calling any witnesses as appropriate.

Where an investigating officer has been appointed, this person may be asked to present details of their investigation and findings.

Where the grievance is against another person, that person will then have the opportunity to question the other party, the investigating officer, and any witnesses who may be called. They may then present their response.

The Panel can question each side, all witnesses, and the investigating officer to gain a complete understanding of the case. In addition, both parties will have the

opportunity to question the other party, any witness who may be called, and the investigating officer. In the event of there being a dispute about whom may be called to give evidence the Chair’s decision shall be final.

Witnesses can be called one at a time to give evidence and be questioned. Once all evidence has been presented each side will be given the opportunity to sum up. The aggrieved employee to sum up first followed by the other party. No new evidence can be introduced at this stage. Both sides will then withdraw, leaving the Panel to consider the evidence and to make a decision. The final decision rests with the Chair.

Records

The Chair will keep a copy of the hearing records.

If a grievance against another member of staff is upheld, a record should be kept on that member of staff’s personnel file. The Chair should decide how long the records

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should be kept live (this should usually reflect the timescales within the disciplinary procedure). Once expired, the record should be destroyed.

If an allegation against a member of staff has not been upheld, the record should be held on the file of the person who raised the grievance. The Chair must decide how long it will remain on file.

Member Level Hearings

These are to be called where a grievance has been formally made against the Chief Executive, or a Strategic Director.

Such grievances should be addressed to the person against whom the grievance is made. It must then be forwarded to the Assistant Director Legal, Democratic, and Personnel Services within two working days, to arrange the hearing. The Assistant Director Legal, Democratic and Personnel Services will acknowledge receipt of the grievance to the grievant within three working days of it being passed to them. All written grievances must specify:

• The grievance

• The reasons why the employee considers that the grievance has not been dealt with satisfactorily at stage 1

• The reasonable remedy they are seeking

Under discrimination legislation, an employer may have a duty to assist employees in formulating a written grievance if they are unable to do so themselves due to a

disability or language barrier.

The Assistant Director Legal, Democratic and Personnel Services will arrange the hearing as quickly as possible upon receipt of the grievance, preferably within ten working days, but no later than twenty-eight days unless written agreement is obtained from the grievant.

The Panel will consist of three elected members who have been trained in disciplinary and grievance procedures; and in an advisory role, the Head of

Corporate Personnel Services or a nominee. None of the elected members should have been involved with the case, or have personal knowledge of or interest in the employee. A minimum of two members shall comprise a quorum. Dependent upon the nature of the grievance, due consideration should be given to the profile of the Panel to make it representative or take account of cultural sensitivities.

In conjunction with the Head of Corporate Personnel Services, the Assistant Director Legal, Democratic, and Personnel Services will identify the members of the Panel who will appoint the Chair from among their number. None of the Panel should have a personal interest in the case.

The Assistant Director Legal, Democratic, and Personnel Services will ensure that any papers are distributed with sufficient time for them to be read and understood

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prior to the hearing. A hearing may be delayed if an investigation is required as commissioned by the Chair of the Panel.

At least six working days before the grievance is heard, both sides should produce a statement of facts and submit these to the Assistant Director Legal, Democratic, and Personnel Services for circulation to all parties, together with the results of any investigation and witness statements. The statement of facts should contain: (a) The nature of the grievance

(b) Reference to any procedures, rules, regulations, conditions of service, working practices, Council decisions pertinent to the case

(c) A list of witnesses who will appear at the hearing (d) A chronological list of events of the case

The grievant will be given at least five working days notice of a grievance hearing, in writing, by the Assistant Director Legal, Democratic, and Personnel Services.

(a) the reasons for the hearing i.e. the substance of the complaint and, if appropriate, the conclusion of the previous stage;

(b) the date, time and location of the hearing which should be negotiated with all parties to ensure that it is mutually convenient. The meeting should be as soon as practically possible.

(c) that the hearing provides both parties an opportunity to present their case; (d) that the hearing may be adjourned for further investigation

(e) a grievant or a person who is the subject of a grievance, both have a right to be accompanied by a trade union representative or colleague. This is to be arranged by the relevant party.

If the employee has difficulty reading, or if English is not their first language, the Assistant Director Legal, Democratic, and Personnel Services should ensure they understand the content of the letter.

Proceedings at the hearing shall be conducted as for any grievance hearing. The Panel may ask questions through the Chair on points of clarification at any time. Democratic Services will make arrangements for an independent party to record proceedings.

The Panel shall, after the presentation of the respective cases, deliberate in private to make its decision; only recalling the various parties to clarify points of uncertainty on evidence already given. If such recall is necessary both parties shall return notwithstanding only one is concerned with the point giving rise to the doubt. The Panel may decide to call for further information to assist in its deliberations.

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The Panel’s decision shall be given either immediately at the end of the hearing or within three clear working days of the hearing.

The outcome of the grievance hearing should be communicated in writing to the relevant parties involved, within five working days, by the Assistant Director Legal, Democratic, and Personnel Services. If it is not possible to respond within five working days the grievant should be given an explanation for the delay and advised when a response can be expected. The letter describing the outcome of the hearing shall state:

(c) The right to appeal the response within five working days to the Organisational Development Committee, the appeal being addressed to the Assistant Director Legal, Democratic, and Personnel Services

(d) The right to representation at an appeal hearing

(e) That any appeal letter must give the grounds on which an appeal is based If the employee has difficulty reading, or if English is not their first language, the Assistant Director Legal, Democratic, and Personnel Services should ensure they understand the content of the letter.

The Chair of the hearing should send a Formal Grievance or Appeal Procedure Monitoring Form to the Personnel Officer (Equalities)

Organisational Development Committee

The Committee hears appeals on Member Level Hearing decisions.

The grievant may appeal against the outcome of the Member Level Hearing. They must place their reasons for the appeal in writing within five working days of the date of the letter informing them of the decision from the Member Level Hearing. The letter should outline the grounds for appeal and be addressed to the Assistant Director Legal, Democratic and Personnel Services.

The Panel consists of members of the Organisational Development Committee, including the Chair, who is also the Chair or Vice Chair of the Organisational Development Committee. Members must be trained in disciplinary and grievance procedures. A minimum of three members shall comprise a quorum. The Panel shall also include the Head of Corporate Personnel Services, or a nominee; or where they have previously been involved with the case, a nominated external professional advisor. The advisor should have no previous involvement with the case.

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the profile of the Panel to make it representative or take account of cultural sensitivities.

The Assistant Director Legal, Democratic, and Personnel Services will identify the members of the Panel and arrange the appeal hearing. Panel members should not have had any previous involvement or any personal interest in the case.

The Assistant Director Legal, Democratic and Personnel Services will ensure that any papers used in the previous hearing, together with the records of the hearing and the appeal letter, are distributed with sufficient time for them to be read and

understood by all parties.

The employee will be given at least five working days notice of an appeal hearing, in writing, by the Assistant Director Legal, Democratic, and Personnel Services.

(a) the date, time and location of the appeal which should be negotiated with all parties to ensure it is mutually convenient;

(b) that the appeal provides an opportunity for the parties to present their case; (c) that the appeal may be adjourned for further investigation.

(d) that the employee may be accompanied by a trade union representative or colleague. This is to be arranged by the employee.

If the employee has difficulty reading, or if English is not their first language, the Assistant Director Legal, Democratic, and Personnel Services should ensure they understand the content of the letter.

Proceedings at the hearing shall be conducted as for a grievance hearing. The Panel may ask questions through the Chair on points of clarification at any time. Democratic Services will make arrangements for an independent party to record proceedings.

The Panel shall, after the presentation of the respective cases, deliberate in private to make its decision; only recalling the various parties to clarify points of uncertainty on evidence already given. If such recall is necessary both parties shall return notwithstanding only one is concerned with the point giving rise to the doubt. The Panel may decide to call for further information to assist in its deliberations. The Panel’s decision shall be given either immediately at the end of the hearing or within three clear working days of the hearing.

The outcome of the appeal hearing should be communicated in writing, to the relevant parties involved, within five working days by the Assistant Director Legal,

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Democratic and Personnel Services. If it is not possible to respond within five working days the grievant should be given an explanation for the delay and advised when a response can be expected. The letter describing the outcome of the hearing shall state:

(a) The response to the appeal and any action that will be taken (b) The justification for the response

(c) That this is the final level of appeal

If the employee has difficulty reading, or if English is not their first language, the Assistant Director Legal, Democratic, and Personnel Services should ensure they understand the content of the letter

The Chair of the hearing should send a Formal Grievance or Appeal Procedure Monitoring form to the Personnel Officer (Equalities)

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Formal Grievance or Appeal Monitoring Form (to be completed by Chair of panel) Date of Hearing Date original grievance lodged

Name of Chair Telephone

Brief description of the grievance / appeal

Name of Grievant Staff Number

If the grievance alleged discrimination, please indicate on what grounds:

Race Religion or Belief Disability Sex

Sexual Orientation Age Other

If the grievance alleged discrimination, please state:

Name of alleged perpetrator Staff Number

What was the outcome of the hearing?

If a Grievance hearing, has an appeal been lodged?

Signature of Chair Date:

For use by Personnel only

Equality data for grievant Ethnicity Disability

Age Gender

Equality data for perpetrator Ethnicity Disability

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Gloucester City Council

COMMITTEE : CMT OD Committee Employee Forum Cabinet Briefing OSM DATE : 20 March 22 March 2007 29 March 2007 4 April 2007 16 April 2007

SUBJECT : Disciplinary Procedure

WARD : All

REPORT BY : Corporate Personnel Services

AUTHOR Brian Long

NO. OF APPENDICES : 1

REFERENCE NO. :

1.1 To propose revisions to the disciplinary procedure to comply with the Disputes Resolution Regulations 2004 and ACAS guidance.

2.1 That the attached revised disciplinary procedure be adopted. (Appendix 1)

3.1 The current disciplinary procedure has been in place for a significant period and has been overtaken by legislation.

3.2 The Dispute Resolution Regulations identify the necessity for a 3-step process plus an appeal. In addition, there is a requirement for a modified process in connection with extreme cases of gross misconduct.

3.3 Due to restructuring, the role of the Assistant Director, Legal Democratic and Personnel Services has been changed, where appropriate, within the procedure, and the OD Committee appeal process introduced.

3.4 This procedure must link with revised Harassment and Bullying, and Grievance Procedures.