Grievance Procedure
Version 1.0
Grievance Procedure
Human Resources Policy
VERSION 1.0
Grievance Procedure – Version 1.0
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Grievance Procedure
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Grievance Procedure
Version 1.0
Policy Reference Num.
Date of Implementation
Policy Owner
Policy Author
Version
Review Date
DBS-012
4 April 2016
DBS Head of HR
Naomi Robson
V1.0
4 April 2018
Contents
1
Overview .......................................................................................................................................................................................4
2
Policy Statement ..........................................................................................................................................................................5
3
Scope ............................................................................................................................................................................................5
4
Principles .....................................................................................................................................................................................5
5
The Grievance Procedure ...........................................................................................................................................................5
6
How should I use this guidance? ...............................................................................................................................................5
7
How do I raise a grievance? .......................................................................................................................................................6
8
The informal process ..................................................................................................................................................................7
9
Informal Mediation .......................................................................................................................................................................7
10
The Formal process .................................................................................................................................................................8
10.1
Stage 1 ...................................................................................................................................................................................8
10.2
Stage 2 ...................................................................................................................................................................................9
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11
Interim Action .........................................................................................................................................................................10
12
Grievance Hearing ..................................................................................................................................................................10
13
The outcome of the grievance hearing .................................................................................................................................11
14
Appeals ...................................................................................................................................................................................12
15
I no longer work for the DBS and want to raise a grievance, what do I do? .....................................................................13
16
The modified procedure.........................................................................................................................................................13
17
Record Keeping ......................................................................................................................................................................14
18
Authority Levels .....................................................................................................................................................................15
19
Possible Outcomes ................................................................................................................................................................16
20
Appeal meeting .......................................................................................................................................................................16
21
Roles and Responsibilities ....................................................................................................................................................17
Annex A – Example Investigation Report ......................................................................................................................................19
Annex B – Grievance Hearing (Further information).....................................................................................................................21
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1
Overview
1.1.
Anybody working in the DBS may, at some time, have problems or concerns about their work, working conditions or
relationships with colleagues that they wish to talk about with management.
1.2.
The DBS is committed to promoting effective working relationships and an environment in which its employees feel able to
raise work related issues, without fear of reprisals or damage to future career prospects.
1.3.
This procedure provides a clear and transparent framework to deal with concerns, problems or complaints raised by
employees in the course of their employment in relation to:


matters affecting themselves as individuals; or
matters affecting their personal dealings or relationships with other employees
This policy does not form part of any employee’s contract of employment and we may amend it at any time.
1.4.
The procedure applies to all employees, including those on fixed term appointments. It does not apply to agency workers.
They will be managed in line with the recruitment agencies procedures and the DBS would advise the agency if an incident
occurred. Self employed contractors will be managed in line with their own terms and conditions set out in the contract award
letter.
1.5.
It does not apply to Non Executive Directors who are public appointees and would refer to the DBS Chair and Home Office
Sponsor Unit.
1.6.
Where the grievance relates to the line manager, then the employee should raise the matter with their countersigning
manager. This manager should be at a higher level than the line manager. Where a number of people within the line
management chain are involved in the grievance, the grievance should be raised with the Head of HR, who will be
responsible for identifying an alternative manager to resolve the complaint.
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2
Policy Statement
2.1.
DBS wishes to encourage and maintain good employee relations. It is important
that our culture allows concerns to be raised and, where possible, the problem
to be resolved informally at an early stage.
What if my grievance
relates to a third party?
Where the grievance relates to
other personal or organisational
issues, the employee should
firstly attempt to resolve their
concerns through the appropriate
channel e.g., contacting Shared
Services in relation to payroll
problems. Further guidance can
be obtained from a HRBP.
2.2.
Grievances are concerns or problems that employees raise with their line
manager regarding the work environment, changes to working practices or
working relationships.
2.3.
The Grievance procedure sets out the process the DBS will follow.
3
Scope
3.1.
This product applies to all employees regardless of their employment status i.e.
permanent, fixed term.
4
Principles
4.1.
Where grievances are raised, the DBS will deal with them fairly, confidentially and without unreasonable delay
5
The Grievance Procedure
5.1
The DBS expect employees to try to resolve any grievance informally first. However, there may be instances where
progression to the formal procedure at the outset is appropriate such as cases that involve accusations of Discrimination,
Bullying and Harassment. Advice should be sought from a HR Business Partner (HRBP) in the first instance.
5.2
This procedure should be read in conjunction with the DBS Discrimination, Bulling and Harassment (DBH) statement.
6
How should I use this guidance?
6.1
The Grievance procedure should not be used to protest about any disciplinary sanction. If an employee is dissatisfied with
any disciplinary sanction, they should submit an appeal using the appropriate procedure.
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How do I raise a grievance?
7.1
Employees should, in most cases firstly discuss the matter with their immediate line manager, who will usually be in the best
position to respond to the grievance.
7.2
Where an issue relates to a third party who provides services to the DBS, such as Adelphi services or the Childcare Voucher
provider, then the employee should, in the first instance follow the escalation process outlined by the third party supplier.
Where the outcome of this is not satisfactory and/or fails to resolve the issue, a grievance should be raised with the Head of
HR who will take responsibility for investigating the matter and resolving the grievance in the manner outlined elsewhere in
this procedure. The Head of HR may delegate responsibility for investigating the complaint, but will ultimately assume overall
responsibility for its handling.
7.3
When raising the grievance, the employee should be clear and detail in writing what the grounds for the complaint are and
what resolution they are seeking, alongside providing as much detail as possible on the dates and times on which events
relevant.
7.4
Where an employee is a member of a Trade Union, they are free to take advice from a Trade Union representative of their
choice at any stage throughout this process.
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8
The informal process
8.1
Whilst employees are encouraged to resolve grievances informally,
they are free to refer to the formal procedure at any time.
8.2
Where an informal complaint relates to other employees, a
manager with line management responsibility for all the
parties involved should hold a meeting with each party
separately in the first instance and then with all other parties
to agree actions to resolve the complaint.
8.3
Where management discussions have not resolved the
issue, formal independent mediation may be offered as a
further attempt to resolve the issue to avoid the need to use
the formal procedures. However, in order for this to
progress, both parties must be in agreement.
Mediation






Is voluntary (you only take part if you want
to)
Is confidential (nothing you tell the
mediator will be passed on to anyone else
unless you want it to be)
Is impartial (the mediator won’t take sides
or judge who is right or wrong)
Works towards an agreed solution which
is “owned” by the parties to the
disagreement
Is most effective at the early stages of
conflict
Aims to maintain the employment
relationship.
8.4
At all stages, managers need to be mindful of instances
where a complaint is so serious or relationships have broken
down to such an extent that an informal resolution or mediation
may not be appropriate e.g. in serious cases of discrimination,
harassment and/or bullying. In these cases, employees should be
advised to use the formal procedure.
9
Informal Mediation
9.1
Where management discussions have not resolved the issue, mediation may be
order for this to progress, both parties must be in agreement.
offered. In
The meeting should seek to;


provide an informal setting for the review of issues surrounding the complaint,
provide a forum for the free exchange of both/all parties involved in the complaint,
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


provide the opportunity to agree a way forward,
promote communications for establishing better working relationships between the parties involved in the complaint, and,
resolve the complaint at an early stage.
9.2
Following the meeting a written record should be kept of what occurred and was agreed. A copy will be given to the
employee.
10
The Formal process
If the grievance cannot be resolved at the informal stage then the employee may raise a formal grievance. The formal
procedure consists of the following stages:
10.1
Stage 1
10.1.1 Complaints should be raised without unreasonable delay and in any case within three months of the incident that has
caused concern, or the latest in a series of related incidents e.g. attempts to resolve issues informally.




Formal complaints should be made in writing, and wherever possible and available should contain
supporting evidence (emails, meeting notes, names of potential witnesses etc) to allow proper
consideration to take place.
complaints should be submitted to the line manager or, countersigning manager if the complaint
involves the current line manager. If the employee is unsure as to how to raise a complaint, or to whom
it should be submitted, they should seek assistance from a HRBP and/or a Trade Union Representative.
where a complaint involves a number of people within the line management chain, it should be
submitted to the Head of HR who will be responsible for identifying an alternative manager to resolve
the complaint.
the complaint should also set out what outcome the employee would like to see from the formal process.
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10.2
Stage 2
10.2.1 The grievance will then be given to the identified Investigating Officer (who
should have had no previous involvement in the case) who will be chosen by
the Head of Service with HR assistance if appropriate.
10.2.3 Where the complaint involves allegations of discrimination, harassment
and/or bullying, the Investigating Officer should refer to the
Discrimination, Bullying and Harassment procedure and be properly
trained in investigating issues of this nature.
10.2.4 The Manager or Countersigning Manager will acknowledge receipt of the
grievance within five working days.
Please note!
Investigations should be conducted
within a reasonable timescale and
should normally take no longer than
20 working days to conclude. Where,
in exceptional circumstances, an
investigation will take longer than this,
the Investigating Officer should write
to all parties to advise them of the
reasons for this and provide a
projected date when an investigation
will be completed.
10.2.5 The Investigating Officer will invite the employee to a meeting to discuss the
complaint, providing five working days notice of the date and time of the
proposed meeting. The employee must ensure that they take all reasonable steps
to attend the arranged meeting
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10.2.6 The purpose of the investigation is to understand the full nature of the grievance, establish the facts of the issues in
question and discuss the grievance with all relevant parties (witnesses) and to explore potential resolutions to the
grievance
10.2.7 The employee has the right to be accompanied at the meeting by a Trade Union representative, DBS colleague or a
member of the Home Office support network; if any party is unable to attend the first meeting, an alternative date may be
arranged within five working days of the original meeting date.
10.2.8 Where the grievance is against other employees, they will be informed about the grievance and given sight of the
sections relating to them immediately following the meeting with the employee making the complaint where possible, and
in any event no longer than 5 working days later.
10.2.9 The investigating officer will gather all the evidence by holding formal meetings with all relevant parties (witnesses) and
gather all necessary information in order to establish the facts. From this they will then put forward a recommendation
report to the hearing officer and notify all parties that their investigation has concluded.
11
Interim Action
11.1 Where a complaint has ramifications for the ongoing working relationship between employees or where the close
proximity of employees may jeopardise an investigation, managers should consider taking steps in the interim, such as
temporarily moving employees to another team or section. However, before taking any action of this type, advice from a
HRBP must be sought.
12
Grievance Hearing
12.1 When the investigation report is received, the Hearing Officer should write to the employee who submitted the grievance
to invite them to a hearing to discuss the outcome of the investigation within five working days and reach a conclusion
on the grievance.
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12.2 The Hearing Officer should provide the employee with a minimum of five working
days notice of the date, time and location of the hearing and should provide a
copy of the investigation report and any other documents gathered as part of
the investigation.
12.3 Employees have the right to be accompanied by a Trade Union
representative or another companion. If the employee or their
representative cannot make the date proposed, it may be re-arranged
to another date which should usually be within a further five working
days.
12.4 A grievance hearing will then take place. During the hearing the
hearing officer will consider any evidence brought to the meeting by
the employee alongside the recommendation report produced by the
investigating officer. Please see Annex B for further information.
Please note!
All appeals must be received in
writing (if an employee is unable to
do this they must speak to a HRBA
and agree an alternative) to the
Head of HR stating the full grounds
of appeal within 10 working days of
the written confirmation they
received. They should include any
evidence that the employee wishes
to rely on at the appeal hearing.
Notes will be taken during the meeting by an independent person.
13
The outcome of the grievance hearing
13.1 Where possible the outcome of the grievance investigation should be
communicated by the hearing officer within five working days of the investigation being
concluded. If this is not possible the employee should be informed of the likely timescale for conclusion of the process.
13.2 Communicating the outcome of the grievance hearing should ideally take place in person, but it may be reserved and
communicated in writing if the hearing officer decides. If communicated verbally, the hearing officer will meet with the
person to inform them of the outcome of the grievance investigation. During the meeting, notes will be taken by the
hearing officer. The individual will have the right to be accompanied to this meeting by a Trade Union representative or
DBS colleague. Verbal notification of the grievance hearing must be followed with a letter confirming the outcome. The
letter will normally detail the following:


the nature of the grievance;
a summary of the investigation that was conducted
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



14
the minutes of the grievance hearing (in order to be agreed).
the decision reached / action agreed (please see Possible Outcomes for further information on
possible outcomes)
the reason for the decision / action
any recommendations as a result of the investigation
Appeals
14.1 If the employee is not satisfied with the outcome of the formal stage they may appeal. Appeals should be submitted
within 10 working days of the letter confirming the grievance outcome.
14.2 The appeal should be acknowledged within five working days. The Head of HR will organise for an appeal hearing to
take place with an appropriate manager, HR representative (both of whom should have had no previous involvement in
the case) and note taker. The manager hearing the appeal will be more senior than the manager who made the original
decision. If the complaint involves a senior manager and an alternative manager is not available or not impartial, then the
Head of HR will chair the meeting.
14.3 The employee should be given at least five working day’s notice of the intended date, time and location of the appeal
meeting.
14.4 The purpose of the appeal hearing will be to understand the ongoing nature of the grievance, to review the basis for the
earlier decisions, consider any new evidence and explore potential solutions.
14.5 The employee will be notified of the appeal chair’s decision in writing within five working days. If it is not possible to
respond within 5 working days, the employee should be given an explanation for the delay and informed of when a
response can be expected.
14.6
The employee has the right to be accompanied to the appeal hearing by a Trade Union representative or DBS colleague.
14.7
This decision will be final and there is no further route of appeal.
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15
I no longer work for the DBS and want
to raise a grievance, what do I do?
15.1 Former employees are able to raise
complaints regarding an event/occurrence
that took place during their period of
employment. If the DBS was aware of the
complaint before employment ended, the
normal grievance procedure should be
used.
15.2 In all other cases, if the complaint was not
raised prior to leaving the modified
procedure should be used.
16
The modified procedure
16.1 The modified procedure consists of two
stages. Firstly, the former employee must
write to their former line manager
explaining the nature of the complaint with
as much detail as possible, including their
suggestions for resolution. Grievances
should be raised within three months of the
incident that has caused concern. If the
complaint involves the former line manager
it should be sent to the counter signing
manager.
Victimisation
Any employee who uses, or seeks to use the
grievance procedure must not be subject to
victimisation as a result. Victimisation occurs where an
employee has suffered detriment because they intend
to, or have raised a grievance. Examples where an
employee may be at risk of victimisation may include:
 Supporting another person with a grievance,
 Bringing a grievance under these procedures,
 Giving evidence or information in connection
with a grievance.
If it is considered that in resolving a grievance an
employee has been subjected to victimisation, the
DBS will intervene to safeguard the person involved.
Any changes to current working arrangements should
only be made after taking advice from a HRBA and
after consultation with the employee concerned.
16.2 The line manager will consider who is most
appropriate to investigate and manage the
grievance and will discuss this with the
relevant Head of Service. The grievance
will then be managed following the formal
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stages set out previously in this procedure.
16.3 At the outcome of the investigation, the manager dealing with the complaint must respond in writing within 10 working
days and send it to the former employee, along with a copy of the investigation report and any other documents
gathered as part of the process.
Advice from a HRBP must be sought for any such cases.
16.4 If the employee is not satisfied with the outcome of the formal stage they may appeal. Appeals will be handled as
detailed above.
17
Record Keeping
17.1 It is very important to keep records of any complaint, in particular notes of any meetings and correspondence relating to
the complaint. Any documents relating to the case will be held centrally in HR in line with the Data Protection Act and
held securely at all times. On no account should they be saved into shared access folders. Copies should be kept on file
according to current DBS Records Management policy.
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Authority Levels
Authority Levels for Investigation and Appeal are;
Grade of Member of staff raising
the grievance
Substantive Grade with Authority
to hear a grievance
Route of Appeal
CEO (SCS PB2)
Chair
Departmental Permanent Secretary
Director (SCS PB1)
Chief Executive
Chair
Grade 6
Director
Chief Executive
Grade 7
Grade 6
Director
SEO
Grade 7
Grade 6
HEO
SEO
Grade 7
EO
HEO
Grade 7
AO
HEO
Grade 7
* The Chair of a disciplinary hearing must always be of a higher level than the person being investigated; however DBS reserve
the right to delegate authority in cases involving senior members of staff, for example the Chair may delegate authority to a
Board Member if appropriate.
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Possible Outcomes
The Hearing Officer must use the evidence gathered in their investigation to come to a fair
and balanced decision.
There are 3 possible outcomes to a grievance investigation:
20

Grievance Upheld
Evidence gathered supports the grievance raised.

Grievance Partially Upheld
Evidence gathered partially supports the grievance raised.

Grievance Not Upheld
Evidence gathered does not support the grievance raised.
Appeal meeting
After the appeal meeting
the outcome of the appeal should
be communicated in writing to the
employee without unreasonable
delay. If there is any reason for
delay the employer should give the
employee an explanation and
indication of when he/she will
receive a written decision. The
letter must state that the will be no
further grounds for appeal.
20.1 Appeal hearings will be held without unreasonable delay and will be chaired by a
manager who has not previously been involved in the grievance investigation or
hearing. The Investigating Officer will be available to present the findings of the
original investigation report and a member of the HRBP team will also be available to
provide advice and guidance on the interpretation of the procedure.
20.2 A note taker will be appointed for the appeal meeting. This person will be independent from the original grievance
investigation process.
20.3 The employee will be given notice in writing of a minimum of 10 working days in advance of the time and place of the
appeal meeting.
20.4 The employee will be allowed to be accompanied to the meeting by a Trade Union representative or DBS colleague. In
addition the employee is entitled to produce documents relevant to their case at the hearing. The chair of the appeal
meeting will be afforded the same opportunity and will be able to call the Investigating Officer into the original grievance
as a witness.
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Roles and Responsibilities
Head of Service or
Director
Investigating Officer
They will be advised by a
For straightforward cases, the line
line manager that a
manager will usually be the
grievance has been raised investigating officer, however for more
complex cases; the DBS reserves the
They will appoint the
right to consider the appointment of
Investigating Officer and
another manager with no previous
Hearing Officer.
involvement will be the investigating
officer.
Notify the employee of the grievance
making clear the allegations being
investigated;
Investigate the allegation and if any
other factors come to light ensure that
the Head of Service agrees to expand
the scope of the investigation.
Following this agreement they then
must advise the employee being
investigated;
Inform the employee as to how the
process of the investigation into the
grievance will be managed;
Invite (with assistance from a HRBP)
the employee and witnesses to all
investigation meetings.
Interview the employee who is the
subject of the grievance;
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Hearing Officer
Appeal Chair
HR Role
This person is
appointed by the
Head of Service
Will usually be a
senior manager from
another directorate
who has not been
involved in the case.
HR Business Partners are
available to support the
listed people during any
grievance procedure.
Will invite the
employee to the
grievance hearing.
Will hear the
evidence at a
grievance hearing
and make a decision
if the alleged
misconduct has
occurred.
Decide on the
sanction required.
Determines whether
the outcome of the
grievance was
appropriate by
listening to relevant
evidence, and has
the authority to
uphold or lessen the
previous sanction if it
becomes apparent
that it was not
soundly based.
Informs the
employee of the
results of the appeal
and the reasons for
the decision and
confirm it in writing.
Making it clear, if this
is the case, that this
decision is final.
HR will advise on the
suggested parameters of
the investigation and
terms of reference.
HR will provide advice on
the policy and procedure
and consistency of the
sanctions given (in a
manner that does not
breach the privacy of
others).
HR will attend all
investigatory meetings
(where possible) to assist
in providing advice to the
investigating officer and or
hearing officer.
Will quality check the
report made by the
Investigating Officer
(please note that HR will
not make any amendment
to the decision made)
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Interview witnesses, gather further
information, and;
Gather any evidence identified;
Will centrally hold case
management files after the
case has concluded.
Produce a report detailing their findings
and recommendations to the hearing
officer within 20 working days of
notification of investigation (where
possible).
A progress letter should be initiated
prior to the 20 working days deadline
where it is known that an investigation
will take longer. The letter should detail
the reasons behind the delay and the
projected timescale for completion.
Share any relevant documents with the
employee.
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Annex A – Example Investigation Report
Confidential Investigation Report
This template report format is for guidance purposes only and may be changed to
reflect the individual circumstances/needs of a case.
Directorate:
Allegation/Issue
Name/Post of
employee(s) subject to
investigation
Name of complainant
(if appropriate)
Investigator (s)
HR Support
Background
This may cover:


How did the issue come to light?
Have any other actions been taken prior to the investigation?
Remit Of The Investigation
This may cover:

What specific allegations/concerns (by bullet points) were investigated?
Investigation Process
This may cover:


A brief description of method(s) used to gather information
A record of what interviews/statements were undertaken and documents
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reviewed
Witnesses

List of witnesses interviewed
Findings
This should cover:

A summary of findings and observations for each specific allegation/issue
of concern investigated, cross-referencing any documentation where
needed
Conclusions
This may cover:


For each concern/allegation investigated an overall opinion based ‘on the
balance of probabilities’ on whether there is evidence to support
allegations made
Recommendations on whether further actions under the relevant
employment procedure should be taken
Appendices

These should be attached and may include witness statements,
investigatory interview notes, chronology of events etc.
Signed by Investigating Officer
Date
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Annex B – Grievance Hearing (Further information)
The employee must make every effort to attend the meeting. If the employee fails to attend without good reason or is
persistently unable to do so (for example, due to health reasons), the hearing meeting may still go ahead and the decision may
be based on the available evidence.
Included below is a step by step guide on how to conduct a grievance hearing:
Step 1
Step 2
Introduce all present and explain that the hearing is to discuss
a grievance matter and that a written record will be produced.
Explain that the hearing will be used to establish the facts of
the case and determine if any further action will be taken.
Remind everyone of the need to respect confidentiality and
that any breaches of confidentiality could result in disciplinary
action.
Explain the alleged grievance, cover the relevant evidence and
summarise the investigation report.
Step 3
During the hearing:
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
Allow the employee to ask questions and present
evidence;

Establish the facts;

Clarify points to ensure everything is understood;

Use open questions to encourage more information;

Use precise, closed questions where specific
information is needed;

Discuss any attempts that have been made to resolve
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the grievance informally;

Step 4
If relevant, establish whether the employee accepts that
they have contributed to the issue raised by the
grievance;
Confirm the preferred resolution of the employee without
raising expectations.
At any point during the hearing, an adjournment can be
requested by the employee or called for by the Hearing Officer.
The Hearing Officer and note-taker should go to a separate
room from the employee and their companion. Hearings
should normally reconvene on the same day where possible.
Reasons to adjourn may include (this is not exhaustive):
Step 5
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
The employee would like to consult their companion;

The employee is distressed and cannot continue;

Comfort breaks;
In exceptional circumstances, further enquiries are necessary
(normally it will be better in such cases to adjourn at the end of
the hearing with a continuation at a later date).
After the questioning and discussion:

Summarise the main points of the case;

Allow the employee to say anything else they would like
to add and to put forward any mitigation if applicable;

Inform the employee when you will make your decision;
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Make sure that you have all the relevant facts and information
before you adjourn.
After the hearing:
Step 1
Adjourn the hearing to allow consideration before making a
decision.
Although it is important to let the employee know of your
decision as soon as possible, it is also important to take time to
consider your decision. Writing down your reasons and
justifying the decision will help to make sure your decision is
the correct one.
You may decide to uphold the grievance in full or in part or not
at all. You may also consider the behavior of the employee
who has raised the grievance and whether there is evidence of
contributory fault. If you decide to uphold the grievance, this
means you are satisfied that the grievance is more likely to be
justified than not. You will also need to reflect on the remedy
sought and ensure that it is within your power to grant this, or
an alternative, remedy.
You should give full consideration to the employee’s answers
to your questions.
You do not need evidence of hard facts as in legal
proceedings. You must be satisfied that, having considered all
the evidence, the case has been proven.
Step 2
Grievance Procedure – Version 1.0
You may need to seek advice from a HRBP, if you feel you
need help with the process or decision making.
Inform the employee who raised the grievance of the decision
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Grievance Procedure
Version 1.0
verbally (where this is possible) and confirm when the
employee can expect to receive the decision in writing (usually
within five working days) enclosing the notes of the meeting.
The decision letter will include:






the nature of the grievance;
a summary of the investigation that was conducted;
the minutes of the grievance hearing (in order to be
agreed).
the decision reached / action agreed (please see
Possible Outcomes (paragraph 17) for further
information on possible outcomes);
the reason for the decision / action;
any recommendations as a result of the investigation;
Note that the right of appeal applies solely to the person
raising the grievance.
Grievance Procedure – Version 1.0
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