All Staff NHSLA / HSE / IGT etc.): N/A
Dignity at Work Policy
John Wall-Head of Employee Relations, Sabrina Deacon- Employee Relations Investigator, and Anita Powell-ER Advisor.
Changes Author 1.0 16/07/2020 New policy ratified New policy ER Team 1.1 April 2022 Extension of Review Date Extended Review Date to July 2023 John Wall
All staff Kingsdocs N/A
No
Daily Bulletin Intranet news item Kwiki page
Keywords: Grievance; dignity; complaint, conflict, concern
Table of Contents
1.0 INTRODUCTION King's College Hospital NHS Foundation Trust is committed to open and honest communication, recognising the importance of maintaining good employment relationships with and between all employees. The Trust seeks, wherever possible, to constructively resolve problems or concerns which arise in the course of employment quickly and where possible informally.
2.0 PURPOSE AND SCOPE 2.1 The purpose of this policy is to provide employees and management with the support and guidance they need to deal with matters in a fair, consistent and effective way. The Trust recognises that the best outcomes often come when concerns are dealt with at the earliest opportunity, quickly and informally.
2.2 The Early Resolution Policy replaces the Grievance and Dignity at Work policies.
2.3 Where employees wish to raise non personal concerns around patient care, unsafe practices or failings, the Trust Whistleblowing Policy and Procedure should be referred to and the member of staff should contact the Freedom to Speak Up Guardians. 3.0 PRINCIPLES 3.1 The fundamental principle of this policy is that staff should feel safe and empowered to report concerns that arise in the course of their employment, with confidence that the Trust will take these concerns seriously and seek a constructive and early resolution.
3.2 The Trust recognises that disagreements arise in the course of employment about a diverse range of issues. For example, this could include disputes about management decisions, breakdown of working relationships, Trust policy, or terms and conditions of employment.
3.3 The Trust also recognises that all patients, visitors and workers have the right to be treated with consideration, dignity and respect. Harassment, bullying and victimisation are morally and professionally unacceptable. King's seeks to support all employees in their professional development and aims to provide a happy and fulfilling environment in which to work in. This policy promotes the respectful treatment of everyone using our premises and the protection of our staff from harassment, bullying and victimisation at work.
3.4 All Trust employees are responsible for their own behaviour and to behave in line with Trust values. It is the duty of each individual to be sensitive to the impact they have on the people around them.
3.5 It is the responsibility of managers to behave in a way that is fair, reasonable, and respectful to create a workplace culture that discourages harassment, bullying and victimisation and gives staff the confidence to discuss concerns that arise during the course of their employment. Page 5 of 16 Early Resolution Policy, v1.1, April 2022
3.6 Employees are encouraged to report to the appropriate person in the organisation any concerns including incidents of harassment, bullying and victimisation which come to their attention. The Trust gives assurances that there will be no victimisation against employees who make or assist with a legitimate complaint and all allegations will be taken seriously.
3.7 Wherever possible, complaints under this policy will be handled informally and with the intention of a constructive resolution. 3.8 The Trust seeks to work in partnership with trade union representatives and welcomes their feedback, support and active participation in the processes.
4.0 DUTIES AND RESPONSIBILITIES Staff Members - To treat all people in a respectful and considerate way, reflective of the Trust's values. - To raise concerns, as soon as they arise, and in an appropriate way in line with this policy, clearly detailing: 1. What the complaint is about 2. Submitting any documentary evidence. Examples can include emails, employment contract, notes, payslip 3. What they want the outcome of the complaint to be - To work collaboratively with their manager and colleagues to resolve conflict where possible and engage in informal early resolution. - To cooperate and engage constructively with Trust processes, including investigations and meetings that take place within this policy. - To not abuse the policy by submitting false or vexatious complaints that have the effect of bullying and harassing colleagues. Managers - To manage employees in a way that is fair and reasonable - To be alert to bullying and harassment of staff and take action to address this. - To receive staff complaints, take these seriously and take appropriate and effective action to resolve such complaints. - To ensure that all staff involved in a complaint under this policy, including the complainant, the respondent, and any witnesses, are appropriately supported by the Trust. - To work constructively and positively with complainants and their representatives and seek to resolve complaints in a way that is mutually satisfactory so far as is possible. Human Resources - Provide support, advice and guidance to managers and staff on handling staff complaints under this policy. - Explore early resolution with managers and support formal investigations where needed and support with facilitation of mediation where appropriate. - Provide training for Managers on the handling of staff complaints and their resolution. - Advise on appropriate investigators to be used for formal stages. - In accordance with Trust policies, attend formal meetings and hearings in an advisory capacity and where required Staff Side - To advocate on behalf of Trust employees. - To support employees and seek informal resolutions to complaints, issues or concerns where possible. - To contribute to the review and development of the policy. Page 6 of 16 Early Resolution Policy, v1.1, April 2022
- Monitor the effectiveness of the policy and raise concerns when necessary. - Advise staff members on the application of Trust policy and accompany staff members to formal meetings if requested by employees.
5.0 Line / Commissioning Manager - Undertake an initial assessment of the concerns raised or complaint received and attempt to resolve through informal resolution. - Where informal resolution fails or is inappropriate to resolve the complaint, to commission an investigation and appoint an appropriate experienced and senior investigating officer outside of the department, who has had no prior involvement in the matter. Advice should be sought from the ER team. - Provide the investigating officer with clear Terms of Reference to guide the investigation. - Examine the investigation report received from the investigating officer and decide whether or not the case should be considered at a formal hearing if appropriate - To remain impartial and objective throughout the process. - To monitor the investigation to ensure it is concluded in a timely manner and within a maximum of two months, unless mutually agreed. - To notify the employee of the name of the investigating officer and from whom they can seek support (See Management Guidance). - To maintain clear, regular and confidential communication with both the complainant and other staff that may be affected to help avoid: ▪ Misunderstandings ▪ Low morale ▪ Stress or other mental health issues ▪ Further action, such as additional complaints ▪ Legal implications 6.0 Investigating Officer - To remain impartial and objective throughout the investigation process - To disclose any prior relationships with those involved - To plan their investigation and identify appropriate witnesses, documentary evidence, CCTV, etc... to establish the facts. - To carry out a fair, reasonable and thorough investigation - To write up their report comprehensively and in a timely manner including their findings and submit their report to the commissioning manager - The investigating officer should not make recommendations with regards to a potential sanction and confine their report to the facts. - Should the matter be referred to a hearing, the investigating officer may be required to present their report at that hearing
7.0 SOURCES OF SUPPORT
7.1 The Staff Dignity Helpline A confidential and externally-operated helpline is available to staff who have experienced bullying and harassment, either as a victim or a witness. The helpline Page 7 of 16 Early Resolution Policy, v1.1, April 2022
can be contacted on 0800 042 0132. The role of the helpline is to provide a listening ear and give advice on how to approach these issues.
7.2 The Employee Assistance Programme (EAP) A free and confidential service that can provide advice, support and counselling for any issue, whether related to work or personal life. The EAP can be contacted on 0800 243 458, by email to assistance@workplaceoptions.com, or via the website: www.workplaceoptions.com. To login to the website, use the Login KCH and the password employee.
8.0 EARLY INFORMAL RESOLUTION- RESOLUTION STAGE 1 The first stage of the resolution process is to work towards resolving complaints quickly and locally in accordance with the Trust values.
8.1 Speak to the person directly If an employee feels able, when a concern first arises, they should first discuss the matter informally with the colleague /manager whose behaviour has given rise to the concern, to attempt to resolve the issue without recourse to a complaint. It is recommended that these matters are addressed quickly. See Management Guidance.
The employee may wish to speak to their manager or trade union for support to prepare for the meeting (there may be circumstances when it is unnecessary to meet and a letter, email, telephone conversation, etc... will suffice to resolve the matter). If the complaint involves the employee's line manager then they may seek support from the more senior manager in department (i.e. the line manager's manager) or Human Resources, Trade Unions, the Trust's Freedom to Speak Up Guardian etc.
8.2 Informal Resolution Meeting 8.3 If an employee does not feel able to talk to the individual directly or has spoken to them and this has not resolved the conflict, then the next step is for the employee to speak to their manager and request a 'Resolution Meeting. 8.4 A 'Resolution Meeting' is a facilitated conversation which is supported by a third party, usually the manager (if appropriate). It is an opportunity to discuss an issue respectfully and empathically with the intention of finding local resolution. The manager / facilitator will summarise in writing the agreed outcomes and write to participants with any action.
8.5 Where participants are managed by different people, their managers will discuss a way forward. In the event that the conflict is between a manager and someone they manage, the senior manager (if appropriate) would normally undertake the 'Resolution Meeting'. If this approach does not achieve a resolution, colleagues experiencing conflict with each other will be encouraged to attend mediation. Page 8 of 16 Early Resolution Policy, v1.1, April 2022
8.6 Mediation 8.7 An informal solution to staff complaints or conflict resolution is mediation. Mediation can only take place between parties who agree to do so. Where this agreement is received, mediation can be carried out either by the Trust's trained internal mediators or by appropriate external mediators.
The mediators should be contacted by the employee's line manager as time and resources will be required to run the mediation. The mediators will make contact with the parties directly to explain the process further and make arrangements. Mediation only involves the individuals in conflict and the mediator(s). The line manager and / or representative will not be present in the actual mediation meetings.
8.8 The above steps will normally be implemented sequentially. However, there may be occasions when it is necessary to skip some of the steps, for instance if the complaint is very serious. 9.0 MAKING A WRITTEN COMPLAINT - FORMAL - RESOLUTION STAGE 2 9.1 Once the options in early resolution stage 1 have been exhausted or if the complaint, issues or concerns are serious enough to warrant moving straight to the Formal Resolution Stage 2 (see Management Guidance), then the following process should be followed.
9.2 All formal complaints should normally be raised within 3 months of the concern(s) or alleged incident(s) taking place. In exceptional circumstances, this can be extended if there are extremely unusual circumstances, which have caused the delay.
9.3 A staff member wishing to make a complaint under this policy should submit their complaint in writing. They may wish to use the resolution notification form found in the Management Guidance. The letter / email / form should be emailed to the manager of the employee or department that the complaint is against. 9.4 The manager receiving this complaint should reply within 7 working days inviting the employee to attend a meeting with them. There is no right of representation to this meeting. The manager should seek advice from the ER team. See Management Guidance
9.5 The purpose of the meeting is for the employee to explain their issues and the resolution sought. At this point, consideration will be given as to whether it is necessary to adjourn the meeting for any investigations to be carried out or if a decision can be made on the information provided. The meeting will attempt to resolve the matters informally where possible and appropriate.
9.6 In the event the meeting is adjourned for further investigation, the manager who received the formal complaint becomes the Commissioning Manager. They will then appoint an appropriate independent experienced Investigating Officer to undertake an investigation. The Commissioning Manager will hold the Investigating Officer accountable for a prompt, thorough investigation. The Investigating Officer must keep the employee and Commissioning Manager updated on progress throughout the investigation. Page 9 of 16 Early Resolution Policy, v1.1, April 2022
The investigation manager will be supported by an ER team member. See Management Guidance.
9.7 Staff should be aware that any information they provide as part of this formal process, for instance, their formal complaint will usually be shared with the other individuals involved, for instance, the Commissioning Manager and the individual who is the subject of the complaint.
9.8 The Investigating Officer will update the employee and Commissioning Manager on the progress of the investigation at agreed regular intervals and will provide written explanation to any delays that may occur. It is anticipated that the investigation will be completed quickly and without delay.
10.0 PRESENTATION OF REPORT AND OUTCOMES 10.1 The written investigation report findings will be presented to the Commissioning Manager who commissioned the investigation. The Investigating Officer will confine their report to the facts and will not make recommendations. On receipt of the report the Commissioning Manager will consider the findings of the investigation. The Commissioning Manager has wide discretion about how the matter should be resolved. See Management Guidance.
10.2 Where it is decided that on receipt of the investigation report it is not necessary to convene a Formal Resolution Hearing, the Commissioning Manager will confirm that decision in writing, within 14 calendar days of receiving the investigation report.
10.3 Formal Resolution Hearing 10.4 A Formal Resolution Hearing can be convened and the employee should be formally invited to attend the meeting and should be given 7 calendar days' written notice. The employee will have the right to be represented at this meeting an accredited Trade Union representative or workplace colleague employed by the Trust.
10.5 The purpose of this hearing is to discuss the report and for the Commissioning Manager to give their decision. The Commissioning Manager will chair the hearing and be advised by a member of the Employee Relations team at this hearing.
10.6 The Commissioning Manager may invite the Investigating Officer to attend to present their report and answer any questions. The Commissioning Manager may also invite the employee who is subject of the complaint to attend to answer questions. However, these decisions will be made solely by the Commissioning Manager after taking ER advice. See Management Guidance 10.7 The Commissioning Manager has wide discretion on how they organise this process and what is the most suitable and appropriate resolution. Some possible outcomes would include: - The complaint has been upheld, partially upheld or not upheld. - The participants should be (re)-referred to a resolution meeting or mediation. - The matter will need to proceed to a disciplinary hearing or other formal hearing in accordance with the relevant Trust policies Page 10 of 16 Early Resolution Policy, v1.1, April 2022
The Commissioning Manager will confirm their decision in writing within 7 calendar days of the Formal Resolution Hearing. 11.0 APPEAL 11.1 The employee will have the right of appeal against the decision within 14 calendar days of the date of the outcome letter. The appeal will be heard in accordance with the Trust's Appeals Policy. Letters of appeal should clearly state the grounds of appeal.
12.0 MALICIOUS COMPLAINTS 12.1 It is intended that employees should feel confident and supported to raise genuine and legitimate concerns under this policy without fear of reprisal or punishment. Staff must never be penalised or subject to disciplinary action simply for having made a complaint under this policy.
12.2 There may be circumstances in which the ability to make a complaint under this policy is abused, and this can in itself constitute a form of bullying and harassment. Being the subject of a malicious complaint is extremely distressing and it is important that the rights and wellbeing of staff in this position are also protected.
Where it is found that an employee has acted maliciously and dishonestly in raising a complaint (or complaints) that have been found to be baseless, disciplinary action may be taken against that staff member. 13.0 COMPLAINTS SUBMITTED POST EMPLOYMENT Staff members who have left the Trust's employment may submit a complaint under this policy within six weeks of the end of their employment. Complaints submitted in this way will be managed under the formal stage of the policy, but there will be no right of appeal.
14.0 COMPLAINTS RAISED WHILST EMPLOYEE IS BEING MANAGED UNDER ANOTHER PROCESS. If an individual who is being managed under another process, such as (but not exclusively) disciplinary, capability, sickness, change management etc., submits a complaint it may be appropriate to address both processes concurrently. However, such a complaint will not delay other procedures.
15.0 COLLECTIVE CONCERNS 15.1 A collective concern is one which directly affects more than one individual and may but may not necessarily involve more than one department or more than one Trade Union.
15.2 It is hoped by partnership working and effective communication and in accordance with the spirit of this policy then any collective concerns can be resolved informally.
15.2 In order for this procedure to apply (if necessary) at the Formal Resolution Stage 2, either the individuals or a Staff Side Representative should set out in writing / email the basis of the concerns and provide the names of two or more employees on whose Page 11 of 16 Early Resolution Policy, v1.1, April 2022
behalf the trade union representative is raising the issue(s). This should be acknowledged in writing / email within 7 calendar days of receipt by the manager who received it.
15.3 The Staff Side Representative may be accompanied to the Formal Resolution Hearing (as per section 10 of this policy) by up to two members of staff involved in the dispute. 15.4 The Trust and the recognised Trade Unions agree to refrain from lock outs, stoppages or restrictions on normal working until the stages for settling issues within the scope of this agreement have been exhausted. Where official industrial action occurs then the Staff Side agree to maintain essential services, which may be defined as those mutually agreed between both parties.
15.5 Staff Side will have the right of appeal against the decision made at the Formal Resolution Hearing within 14 calendar days of the date of the outcome letter. The appeal will be heard in accordance with the Trust's Appeals Policy. Letters of appeal should clearly state the grounds of appeal. Page 12 of 16 Early Resolution Policy, v1.1, April 2022
16.0 MONITORING COMPLIANCE
Measurable Policy Objectives Monitoring / Audit Method
Frequency Responsibility of Monitoring Responsible Committee - Data on number of complaints received - Informal and formal resolution data and outcomes - EAP statistics - Mediation data - Staff Dignity Helpline data
Workforce Performance Scorecard
Monthly
Employee Relations Service / Divisional Managers
Trust wide Performance Meetings
17.0 ASSOCIATED DOCUMENTS
▪ Appeals Policy ▪ Capability Policy ▪ Disciplinary Policy and Conduct Standards ▪ Organisational Change Policy ▪ Raising Concerns (Whistleblowing) Policy ▪ Sickness Absence Policy ▪ Special Leave Policy Page 13 of 16 Early Resolution Policy, v1.1, April 2022 Formal written complaint Formal Resolution Stage 2 (Employee / line manager - CM) - Submit written complaint / Formal Written Complaint Form
Issue arises RESOLVED Informal Early Resolution Stage 1 (Employee / line manager) 1. Speak to person directly 2. Resolution meeting 3. Mediation
Appendix 1: Staff Complaints Resolution Flowchart
Commissioning Manager Commissioning Report presented to invites employee to Manager appoints Commissioning meeting to discuss. Investigating Officer to Manager. Try to resolve informally investigate & write Possible Formal report Resolution Hearing
Commissioning RESOLVED Manager informs employee of decision Right of appeal
Have the 'Style & Format' requirements of the 'Policy on Policies' been followed in the development and review of this document?
Yes
Are the following headings with supporting information included? - Introduction Yes - Definitions Yes - Purpose and Scope Yes - Duties Yes - Implementation Yes - Monitoring of Compliance Yes - Associated Documents Yes - References Yes - Appendix: Checklist for the Review and Approval of Trust-Wide Policies Yes - Appendix: Equality Impact Assessment Yes Does the document clearly detail who has been involved as part of the consultation? Yes
Has the document received final approval from the appropriate committee / group as described in the 'Policy on Policies' prior to submission for ratification?
Yes
Does the 'Document Location and History' section clearly state where the current document can be located, the document that it replaces and where the archived document can be found?
Yes
Yes
Yes
Service/Function/Policy Directorate / Department Assessor(s) New or Existing Service or Policy? Date of Assessment Staff Complaints Resolution Policy and Procedure Human Resources John Wall & Sabrina Deacon New Policy 15/5/2020 1.1 Who is responsible for this service / function / policy? Associate Director, Workforce 1.2 Describe the purpose of the service / function / policy? This document describes the responsibilities of managers and staff when a concern or complaint has been raised and outlines the steps to be taken to work towards constructive and early resolution. The primary principle of the policy is that staff feel safe and empowered to report concerns that arise in the course of their employment. The Policy replaces the Grievance Policy and Dignity at Work Policy. . 1.3 Are there any associated objectives? Trust Strategic Objectives, Improved efficient resolution. 1.4 What factors contribute or detract from achieving intended outcomes? Early intervention to address matters when a concern have been raised. 1.5 Does the service / policy / function / have an impact in terms of race, disability, gender, sexual orientation, age and religion? None 1.6 If yes, please describe current or planned activities to address the impact. None 1.7 Is there any scope for new measures which would promote equality? None 1.8 Equality Impact Rating [low, medium, high*]: Race (L) Age (L) Disability (L) Gender (L) Religion (L) Sexual Orientation (L)
*If you have rated the policy, service or function as having a high impact for any of these equality dimensions, it is necessary to carry out a detailed assessment and then complete section 2 of this form 1.9 Date for next review: July 2022