Grievance
Procedure
1. Application and Scope
1.1 The University is committed to promoting effective working relationships and an environment in which employees feel able to raise work-related issues with their managers and have trust that a fair and reasonable process will be followed and to take any required remedial action.
1.2 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 including incidents of harassment, bullying and hate incidents.
1.3 The Dignity at Work and Study Policy, specifically relates to bullying, harassment, victimisation and other inappropriate behaviour, this policy should be read in conjunction with the Institutional Values and Strategy; which sets out the University’s vision for a community without limits and the behaviour expected, providing details of the support available and the ways to raise a concern. All complaints and grievances that relate to harassment, bullying and hate will be procedurally dealt with under the grievance procedure.
1.4 The Grievance Policy sets out the informal and formal resolution processes for all forms of grievances.
1.5 If an employee has a complaint concerning a student, the employee should raise the matter using Report & Support in accordance with Regulation 7, the framework in which the University can investigate and respond to reports of student misconduct. Reports can be submitted with contact details or anonymously.
1.6 Any complaint received through Report & Support regarding an employee will be passed to HR.
1.7 The procedure applies to all employees employed by the University of York under a contract of employment. The aim of this procedure is, as far as possible, to achieve a fair and prompt resolution to individual grievances1.
1.8 Exclusions - The procedure cannot be used to challenge formal outcomes in other procedures which have an appeal process, namely:
1.9 Where paragraph 1.8 does not apply, a grievance raised by an employee subject to one or more of the above procedures, will be dealt with in the normal way and in parallel with the other procedure.
1.10 The University has a Speak Up Policy (Public Interest Disclosure) to enable employees to report genuine concerns about an actual or potential danger, fraud or other illegal or unethical conduct. Employees who are directly affected by the concern raised or they feel that they have been victimised for having blown the whistle may raise the matter under the grievance procedure.
1.11 The procedure does not apply to the settlement of collective grievances which should appropriately be addressed through the University's Dispute Resolution Procedure2.
2. General principles
2.1 The following principles will apply to the application of this procedure:
2.2 Wherever possible grievances should be resolved informally without recourse to formal procedures. It is expected that individuals will enter into the procedure in good faith, with the aim of resolving a particular issue. The grievance procedure should not be used as a substitute for normal day to day discussions.
2.3 It is recognised that there may be occasions when it is not possible for a grievance to be resolved informally. In such cases the procedure below at Stage 1 should be followed. All parties should be absolutely clear whether any meeting is being held under the informal or formal stage of the procedure.
2.4 Any steps taken under this procedure should be taken promptly, unless there is a good reason for delay.
2.5 At any stage in the procedure, subject to the agreement of all parties concerned, there may be a suspension in proceedings to facilitate mediation (see 3 below), fact-finding or other non-adversarial discussions with the aim of promoting resolution of the case.
2.6 At any stage in the procedure, the manager dealing with the grievance may, at their discretion, defer consideration of the grievance if other activities which are relevant to the substance of the grievance are pending or in progress. In such cases the parties to the grievance will be advised of the reason for deferring consideration.
2.7 If, on investigation, the grievance is found to be vexatious or trivial the manager may dismiss it without further consideration. The employee will be advised accordingly.
2.8 The University may, with the agreement of the employee, vary this procedure as appropriate to a particular case. In the event that it becomes impracticable to continue with the procedure, it may be discontinued. In such cases the University will advise the aggrieved parties of the outcome of their grievance in writing.
2.9 Right to be accompanied - All employees who raise a grievance or who are the subject of this procedure will have the right to be accompanied at any formal meetings held under this procedure by a trade union representative or work colleague. Witnesses may be accompanied where appropriate.
2.10 Equality and Diversity - To ensure fair treatment and, where appropriate, provision of support by the University in the application of this procedure, employees should be invited to provide information about any equality or diversity issues which may be relevant.
2.11 Confidentiality - All parties involved in these procedures must ensure that they maintain, as appropriate, the confidentiality of the process within and outside the University.
2.12 Timescales - Every effort will be made to achieve a timely resolution to the report – the aim being to conclude any investigation within a period of no more than six working weeks. Both the reporting party and the staff member who is subject of the grievance will be expected to cooperate with the University in achieving that result. In exceptional cases, an investigation may take longer than six weeks, and both parties will be kept updated about the progress of the investigation.
2.13 Involvement of Human Resources - A member of the human resources team will be consulted and will advise on the formal process.
2.14 In very exceptional circumstances where the individual is reluctant to pursue a formal complaint through the Grievance Procedure, but where alleged behaviours are deemed very serious in nature or where the manager is aware there are broader issues of concern around the culture of a team / group of individuals, an investigation may anyway be instigated, with the agreement of the Head of Department and in consultation with the HR Adviser.
3. Mediation
3.1 At any stage in this procedure, the parties to the grievance may request that the matter be referred for mediation. Mediation is likely to be most appropriate in cases involving interpersonal relationships. There may, however, be circumstances in which alternative non-adversarial discussions may be undertaken with the aim of promoting a speedy resolution.
3.2 Mediation is voluntary and will take place only if all parties agree. It is, however, hoped that employees will recognise the benefits of seeking to resolve issues via mediation and will be amenable to and cooperate with this approach.
4. Informal procedure
4.1 Grievances can often be resolved quickly and informally through discussion with managers and there is an expectation that every effort will be made to resolve matters informally where appropriate. In such circumstances, employees are therefore expected to raise any concerns or issues informally with their immediate manager/head of section (the manager).
4.2 Managers will discuss an employee's concerns in confidence with them, make discreet investigations, as appropriate, and attempt to address their concerns fairly and promptly.
4.3 It is the manager's responsibility to seek to resolve the grievance informally and to notify the individual of the outcome. This would normally take the form of a summary note of the discussion and its outcome.
4.4 It is expected that an employee will seek to resolve their grievance informally in the first instance and will only progress to a formal grievance if the issue cannot be resolved by informal means. Where this has been unsuccessful, or circumstances make this route inappropriate, the matter should be raised formally through the grievance procedure.
4.5 If the grievance is against the employee's manager it should be raised with that person's manager who will seek to resolve the matter informally as appropriate (see Appendix A).
4.6 For concerns relating to bullying, harassment, sexual misconduct, or other inappropriate behaviour as defined in the Dignity at Work and Study Policy there are a number of options available to employees on how the grievance can be dealt with informally. For example, an employee may feel able to take action on their own to make the other person aware of the effect of the behaviour on them and how they may be able to amend it; this is encouraged where appropriate and safe to do so. Further details on the informal stage for grievances relating to interpersonal matters can be found on the informal guidance page.
5. Formal procedure
5.1 Stage One - Formal resolution
5.1.1 If it is not possible to resolve a grievance informally, the employee should raise the matter formally, and without unreasonable delay, by putting their grievance in writing. The grievance form should be used to help the formation of this. Where the employee thinks the complaint falls under the Dignity at Work and Study policy, they should note this on the grievance form. On receiving a grievance the HR Adviser (potentially in conjunction with the EDI team) may also advise that the case falls under the Dignity at Work and Study Policy.
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The reporting employee’s line manager will be responsible for informing the staff member named in the grievance of the complaint and begin the formal procedure.
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Consideration will be given to the clarity of the evidence, the number of potential witnesses, the range and nature of the issue involved to determine whether there is a need for a fairly straightforward fact-finding exercise, or a more detailed and thorough investigation as detailed below.
5.1.2 The relevant manager (see Appendix A) will write to the employee acknowledging receipt of the grievance, normally within five working days. This grievance hearing manager should be of sufficient seniority to be able to ensure implementation or otherwise act on any recommendations made by the investigating manager (see 6.1.4 below).
5.1.3 The grievance hearing manager will invite the employee to attend a formal grievance meeting in order to discuss the grievance. This meeting will normally take place within ten working days of the written acknowledgement.
5.1.4 As a result of the initial grievance meeting, the grievance hearing manager may determine that it is necessary to make further enquiries and/or may appoint an investigating manager to conduct an investigation into the background facts or into any allegations made by the employee. They will need to take into account the guidance on identifying an investigating manager.
5.2 Investigation
5.2.1 The grievance hearing manager will, in consultation with the HR Adviser determine the following:
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the scope of the investigation;
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the outcomes to be sought by the investigating manager;
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who will communicate with the employee raising the grievance
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Where the grievance relates to other employees, the individuals involved will be informed in writing of the nature of the complaint and will be given the opportunity to submit a response. They will be advised that an investigation is to be undertaken and to keep them informed of progress with it including next steps
The investigating manager will, in consultation with the HR Adviser determine the following:
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what evidence will be gathered, including who will be interviewed as a potential witness, to enable a decision to be taken on whether – on the balance of probabilities – the grievance should be upheld;
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indicative timelines for the investigation;
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prepare for and hold the meetings with all relevant parties;
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write an investigation report summarising the findings of the investigation;
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keep the grievance hearing manager updated on the progress of the investigation
5.2.2 The results of the investigation will be provided to the grievance hearing manager in the form of an investigation report. This report will also be made available to the employee raising the grievance and any employee(s) named in the grievance. Following the investigation, the grievance hearing manager may deem it appropriate to hold a further grievance meeting with the employee raising the grievance. The purpose of this meeting is to seek clarification on any further issues that might have arisen and to allow the employee to comment on the findings of the investigation.
The grievance hearing manager will consider, agree and finalise the report, including the findings and recommendations from the investigating manager and decide on the appropriate action. The grievance hearing manager will share the report (or a summary of it in certain circumstances) with the reporting party, the staff member named in the grievance and, as appropriate, their line manager(s).5.2.3 In some cases it might be appropriate to hold a grievance hearing with the aggrieved individual and the person(s) against whom the grievance lies.
5.3 Outcome
5.3.1 The grievance hearing manager will determine the outcome of the grievance. They may reject the grievance, or may uphold the complaint and indicate what steps have been/should be taken to resolve it. Further guidance on the types of outcomes and when they are appropriate can be found in the potential grievance outcomes guidance.
5.3.2 The grievance hearing manager will inform the individual, in writing, of the decision and the right of appeal normally within ten working days of receiving the investigation report or of the final grievance meeting/hearing. The employee will be given an explanation if this is not possible and will be advised when a response can be expected.
5.3.3 Any employee(s) named in the grievance will also be advised, in writing by the manager, of the decision and, as appropriate, confirm the actions they will be taking as a result of the conclusion of the investigation.
5.3.4 The manager will also inform any other parties who have been asked to participate in an investigation that it has been concluded.
5.3.5 The manager will confirm to the line manager and/or Head of Department (as appropriate) of the reporting party and the staff member named in the grievance what action is required as a result of the conclusion of the investigation.
5.3.6 The line manager and/or Head of Department (as appropriate) will implement any actions as notified by the investigating manager.
5.4 Stage Two - Appeal
5.4.1 If an employee remains aggrieved, they may write to the Director of HR within ten working days of the date of the decision under Stage 1, exercising their right of appeal. The appeal letter must detail the grounds for appeal which should be addressed under one or more of the following headings:
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The procedure was flawed.
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The decision was unfair or perverse because the evidence did not support the outcome reached.
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New evidence is available that could not have been made available to the original investigation.
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Any action proposed was inappropriate in the circumstances of the case.
5.4.2 Appeals will be considered by a more senior manager (Appeal Officer) in accordance with the table at Appendix A. The Appeal Officer will have had no prior involvement in the case and will be supported by a member of the HR team.
5.4.3 The purpose of the appeal is to enable the individual to explain the reasons for their appeal. It will focus on the grounds of appeal and will not be a re-hearing of the original investigation. The appeal may involve:
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Interviewing the employee making the appeal
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Interviewing the grievance hearing manager and/ or investigating manager
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Gathering, where appropriate, additional documentary evidence from the appellant and any other relevant individual(s).
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An appeal hearing.
5.4.4 Where the appeal involves other employees, the person(s) named in the grievance will be informed of the appeal and the outcome.
5.4.5 This procedure may, in the interest of natural justice, and following consultation with relevant parties, be varied and altered by the Appeal Officer who will detail the reasons for the variation.
5.4.6 The decision may be given verbally at the appeal hearing and will in any event be conveyed or confirmed in writing within ten working days of the hearing. Any recommendations for further action will be clearly stated in the letter.
Review
This procedure will be reviewed periodically to ensure compliance with changes in employment law and equality and diversity legislation.
Guidelines are available and should be referred to in the application of this procedure.
Notes
- The procedure recognises that a number of employees may raise the same/similar concerns as individual grievances which would fall to be dealt with under this procedure.
- See https://www.york.ac.uk/admin/hr/policies/employee-relations/structure/
Appendix A: Levels for action
| Level of manager | Informal | Formal | Appeal |
|---|---|---|---|
| Manager is not HoD/HoPS | Line Manager | Line Manager | Head of Department /Head of Support Service Directorate |
| If manager is HoD/HoPS | HoD | HoD | Member of SLT |
| If grievance is against HoD | Dean | Dean | Member of SLT |
| If grievance is against Head of Support Services Directorate | Chief Financial Operating Officer/ Chief Academic Support Officer | Chief Financial Operating Officer/ Chief Academic Support Officer | Member of SLT |
Document control
- Last reviewed and updated: 18 February 2025