The following has been supplied by PCS DWP Group:
PCS defends rights at work
DWP Grievance Policy, Procedure and Advice have
been revised following consultation but not agreement with the Departmental
Trade Union Side (DTUS). The revised procedure is effective from 14th October 2013. Changes have been introduced to align DWP
procedure with Civil Service Employee Policy (CSEP) for grievances.
PCS has worked to ensure that
the changes not only comply with statutory rights at work but also retain many
of the standards and best practices established in DWP. It is important that
there should be no misunderstanding that the New Grievance Policy, Procedure
and associated guidance does not introduce any contractual changes.
DTUS has engaged in consultation without any intent to remove any contractual right. DTUS
made significant progress to improve the original revised presentation of
changes during the consultation process.
This outcome is underpinned by the support for the
National Campaign, against threats to our rights at work, given by PCS members in DWP.
Revised
presentation of rights
The revised presentation of the right to raise a
grievance is published on the DWP HR intranet site as Policy, Procedure, and
Advice and “How to” guides, including How to –
·
Use
Mediation to resolve conflict
·
Decide
the best route for resolving a grievance
·
Recognise
and deal with vexatious and malicious grievances
·
Recognise
harassment, discrimination and bullying
·
Investigate
discipline and grievance cases
·
Hold
a discipline or grievance meeting
·
Recognise
and deal with ‘other complaints/grievances’.
The new Policy replaces both the Grievance and
Harassment Discrimination and Bullying Policies to align DWP with CSEP
procedure.
Scope of new
policy
The new policy and its related procedures apply to
all employees, including those on probation, fixed-term appointments and
temporary workers.
The policy is not to be used to deal with
complaints arising from the application of other policies and procedures that
include an appeal mechanism, for example, discipline poor performance and/or
attendance.
Material
detriment
The issue or decision that is causing concern will
normally be implemented or stand, unless unreasonable material
detriment can be demonstrated. Grievance Advice Q&A 3 provides
further guidance on such cases.
Three routes to resolve grievance
There are 3
routes down which an employee can go to resolve their grievance. These are not
meant to be sequential; the most appropriate route should be used depending on
the type of grievance. The 3 routes are:
• Employee Action
•
Manager Action
•
Management Investigation
Use of the Employee Action and Manager Action
processes does not mean that an employee’s complaint is not important or is any
less serious than a complaint taken through the Management Investigation
process. The aim is to use the most suitable process related purely to the
nature of the complaint and the achievement of resolution in the most appropriate
manner (Procedure 3)
All cases of Harassment
Discrimination and Bullying must be dealt with by Management Investigation
(Procedure 3.4).
Employee
Action
The new
procedure puts an emphasis on employees trying to resolve work-related problems
and issues themselves which may include Mediation (Procedure 3.6 -3.7).
However if
the employee has tried but not been able to resolve any issue, or reasonably
feels unable to attempt to resolve it, they may refer the matter to their line
manager for Manager Action. If the grievance concerns the line manager, the
employee should speak to the countersigning manager or another appropriate
manager. (Procedure 3.8)
Manager Action
The new
Procedure (4.1-4.3) explains that Manager Action could be the employee’s line manager
taking action to resolve the problem or reconsidering an earlier decision (e.g.
refusal to allow time off or rostering) which has resulted in the grievance
being raised. It could also be the line manager providing advice, coaching or
signposting the employee to mediation or other sources of help to enable the
employee to resolve the matter.
The
employee may refer for Manager Action if they are unhappy about a management or
organisational decision. They would normally raise the issue with their line
manager, or the manager who made the relevant decision, as soon as they become
aware of its impact.
Where the grievance is wholly or partly about a
decision taken by the line manager, and the matter is significant the employee
can refer the matter to their countersigning manager. In very exceptional
cases, such as when gender is an issue, the employee can refer to another
manager.
Management Investigation
Management
Investigation means enquiring into the complaint, giving notice of meetings
and recording the discussions before reaching a decision. (Employees have a
right to be accompanied by a colleague or trade union representative to meeting).
However, a manager does not need to take action via the Management
Investigation process to change a decision, this can be done under Manager
Action and it is preferable for the decision to be changed under Manager Action
wherever possible (Procedure 5.2).
Employees are expected wherever possible to progress their issue using
the Employee Action or Manager Action procedures. Managers are required to
engage constructively with employees to ensure the Employee Action and Manager
Action procedures are meaningful and effective. Should the issue remain
unresolved and, upon further reflection, the employee believes it is reasonable
to do so; employees may have their grievance dealt with under the Management
Investigation procedure (Procedure 5.3).
Management Investigation
examples
Examples
are given under Procedure 5.4 of circumstances where complaints would be dealt
with by Management Investigation. They normally need to be about the
relationship between the employee and the Department, and may potentially fall
under the jurisdiction of an Employment Tribunal. Procedure 5.5 confirms that this
is not meant to be a complete list but indicative of the type of case which
would normally be appropriate for Management Investigation. Grievance Advice
Q&A 2 provides definitive guidance:
Q2 Can a matter be
dealt with under Management Investigation if it is not listed at Procedures
paragraph 5.4?
Yes. The list in
Procedures paragraph 5.4 is illustrative of cases suitable for Management
Investigation as defined in Procedures paragraphs 5.1 and 5.2.
However, where the
issue remains unresolved following Employee Action and/or Manager Action, and
the employee believes, after reflection, that it is reasonable to do so, they
may have their grievance dealt with under the Management Investigation
procedure.
It is not the
Department’s intention that managers and employees should spend more time
discussing how a grievance should be progressed as it would take to investigate
the matter.
Requesting
a Management Investigation
If the grievance is appropriate for Management Investigation, the employee must:
·
raise
the complaint on form after a period of reflection but within 30 working days
of the event or issue taking place
·
be
clear about the grounds for the grievance and the specific issue they want
resolving
·
describe
what they have done so far to resolve the complaint themselves through Employee
Action or Manager Action - if the employee has not taken these courses of
action they should explain why
·
stick
to the facts
·
avoid
using language which might be considered insulting or abusive
·
state
what outcome is being sought
If the grievance concerns
the line manager, the G1 form should be sent to the countersigning manager. A
manager should not conduct a Management Investigation about their own decision
– in such cases a different, independent manager should always undertake the
Management Investigation.(Procedure 5.7 -5.8)
If the
complaint can be resolved by Employee Action or Manager Action, the manager
should meet with the employee to discuss the complaint and make a decision to
resolve the issue. This action normally concludes the matter. (Procedure 5.10)
Where
Employee Action or Manager Action is not appropriate, the manager must decide
on a course of enquiry. There are two possible courses under Procedure 5.11:
·
HDB Cases -
In all cases of alleged harassment, discrimination and bullying (HDB), the
manager’s first step is to telephone the HR Mediation & Investigation
Service (tel 01324 591552) for advice. HRMIS will advise on mediation or
other possible courses of action. Where mediation or another course of action
is not appropriate, the manager will refer the papers to HRMIS.
HRMIS will investigate the matter and
make a decision on whether the complaint is upheld or not upheld. The manager
will then review the resulting report with the employee and initiate any
resulting action (Procedure 5.12).
·
Other grievances - In all other grievance
cases the manager will investigate and be the Decision Maker. If,
exceptionally, the line manager cannot undertake the investigation (e.g.
because they cannot currently devote the time or the grievance is about a
decision the line manager has made), an independent investigator of an
equivalent or higher grade will be appointed and they will undertake the
investigation and provide a report. This is a matter for local decision.
(Procedure 5.13)
Right of Appeal
The CSEP
procedure was revised to meet DWP standards. The right of appeal is covered
under Paragraph 6 of the new procedure. There is one right of appeal in this
procedure. Appeals can be made against:
·
procedural
errors; and/or
·
decisions,
including cases where new evidence has been raised that may change the outcome
of the original decision.
Appeals will only be raised
against decisions made under the Management Investigation process. (Procedure 6.2)
Appeals must be heard,
where this is possible, by someone senior to the person who made the decision
being appealed. If this is impossible due to operational circumstances, or for
some other reason, the appeal may exceptionally be heard by a manager at the
same level as the Decision Maker. Someone
other than the employee's line manager should appoint an appeal manager
where it is the line manager's decision that is being disputed e.g. a local HR expert or a more senior
local manager might appoint an appeal manager (Procedure 6.3)
Whoever
appoints them, the appeal manager must not be
the decision maker, the decision maker’s line manager or the employee’s
countersigning manager unless the
employee agrees that they can be.
Appeal
managers must be demonstrably independent in that they or their line manager must not
have been previously involved in the disputed decision. For example they must
not have been involved in the grievance to date and must be able to take an
objective view of the information presented. To ensure independence there must
be sufficient distance between the appeal manager and the day-to-day issues
discussed in the grievance (Procedure 6.4).
Collective
grievances
A procedure
for collective grievances is imposed under Grievance Procedure paragraph 7.
However, Grievance Advice Q&A 21 confirms that an employee’s case may have
to be considered individually. This will
always happen where there are issues of employee confidentiality and/or the
grievance includes material issues specific to the individual.
Fundamentally flawed cases
In cases where the Departmental Trade Union Side has serious concerns
that, in individual cases, the process followed or the decision is
fundamentally flawed, they may put the issue to DWP HR Specialist Services for
advice on how the case could be remedied (Procedure 3.5).
PCS guidance for Branches
The right to raise a formal grievance and appeal is under the Management
Investigation process. This includes HDB complaints.
Employees are expected to try to resolve issues under Employee Action or
Manager Action in the first instance where possible. Branch Briefing DWP/BB/126/13
provides guidance on the statutory right to be accompanied at grievance and
disciplinary meetings.
Cases of non-compliance with DWP Procedure 5.3 and Advice Q&A 2, for
Management Investigation, which are not corrected locally at SEO level or
above, should be reported by Branches to PCS at the address below.
David Burke
Group Assistant Secretary
