Review of the MPS grievance procedure – progress update

Report: 13
Date: 25 July 2002
By: Commissioner

Summary

This report follows on from the report provided at the Human Resources Committee on the 7 March 2002. The proposals for the new procedure have been agreed internally, after a lengthy and thorough process of consultation and refinement. This update provides a summary of the new process and outlines the process for implementation.

A. Recommendations

That Members to note the contents of this report.

B. Supporting information

Introduction

1. This paper summarises the progress to replace the current MPS Grievance Procedure with a new Fairness at Work Policy and Procedure.

Background

2. The need to revise the existing MPS Grievance Procedure was detailed in report 12 to Human Resources Committee on 7 March 2002.

3. The main criticism of the current Grievance Procedure is that it can take too long to resolve issues and does not provide any independent element. In many cases, the originator of the grievance simply wants somebody different from their line management to examine their concerns. However, it is also important to learn from each dispute, and responsibility for management action should not be wholly removed from local management.

4. Work on revising the Grievance Procedure has been led by the 'Development and Organisational Improvement Team' – 'DOIT', with consultation through the Equal Opportunities Consultative and Steering Committee, Independent Advisory Group and ad hoc workshops with practitioners. In addition, Sue Harper, of Consultancy Sharper Support, was tasked by the MPS to assist in the project as a result of her work for the MPA Virdi Enquiry.

The new Fairness at Work policy and procedure – a summary

5. The proposed procedure is a two-stage process preceded by informal line management action. It recognises the role of line management in dealing with any initial issues of dispute in the workplace before the formal stage. The two formal stages conform to the requirements of both the Employment Bill and the ACAS Code of Practice. A copy of the draft policy is attached at appendix 1.

6. If a dispute has not been resolved through line management action, the originator of the 'complaint' can then initiate the formal stage 1 of the Fairness at Work procedure by completing a form, which is sent to the relevant Personnel Manager.

7. The Personnel Manager, in consultation with the OCU Commander/Head of Branch, will appoint a Fairness at Work Advisor to investigate the issue and make a report. This person may be of any rank or pay band, and from any location, and may in some circumstances be in the originator's line management chain. The overriding factor is that it must be somebody suitable given the specific circumstances of the case, and who may, for instance, have had prior experience of dealing with similar issues (such as diversity). The investigation will include an examination of the informal management action taken prior to stage 1.

8. If the issue is not resolved at stage 1, the originator can initiate stage 2 – the appeal – by completing a form, which is sent to the Fairness at Work Co-ordinator, a new senior post. The Fairness at Work Co-ordinator will appoint a Fairness Appeal Advisor to investigate the case, who will be a more senior person than the Fairness at Work Advisor, and who has the relevant skills to deal with the appeal. The Appeal Advisor will report findings to the parties involved and to the Fairness at Work Co-ordinator. There is no further right of appeal.

9. Each stage will need to be completed within stated time scales, but these may be extended if necessary to ensure adequate investigation, provided that all parties are kept informed.

Summary of the Changes

10. The main changes are summarised as follows:

• two formal stages rather than the present three;
• recognition and checking of the informal line management action;
• formal initiation of the procedure through personnel managers;
• stage 1 investigation will be carried out by any suitable person, thus providing some independence if appropriate;
• stage 2 investigation will be carried out by a suitable person appointed independently by the Fairness at Work Co-ordinator;
• the new post of Fairness at Work Co-ordinator will oversee the whole process.

The Fairness at Work Co-ordinator

11. This new post will take responsibility for day-to-day ownership of the proposed policy and procedure, which will include responsibility for collating statistics and other management reports. The post-holder will also be involved in the procedure itself because he/she will be notified at stage 1, will receive appeals and will appoint the Appeals Advisor. It will be a senior post and there is a strong case for establishing the position and appointing the post-holder before the new policy and procedure are introduced.

Relationship with Misconduct/Discipline

12. One of the most difficult areas for handling disputes in the workplace is the relationship with misconduct/discipline, especially in a police service. In many cases, a dispute will identify actions that may come within misconduct/discipline rules or regulations, and the question then arises as to which procedure should take precedence.

13. It may not be possible to lay down clear rules about how this relationship should be managed, but one of the criticisms made of the current procedure is the apparent delay in resolving an originator's complaint when misconduct/discipline offences are subsequently identified. Protocols will need to be developed between the Fairness at Work Co-ordinator and DPS regarding the management of these cases.

Proposals for Implementation

14. It is aimed to implement the new policy on the 1 October 2002. A great deal of work needs to be done prior to formal launch and to this end a comprehensive implementation plan has been devised.

15. The 'implementation plan' is divided into a number of strands. The strands are not necessarily mutually exclusive and there is clearly a close interrelationship between them. Each strand has a chronology and responsibility for completion of tasks is specified.

Strands of Implementation

16. (There is no meritocracy in the numbering of the strands.) This note purely provides an overview of the type of work being undertaken within each strand.

1. The Policy
   The final approval of Management Board will be required before implementation. The policy will be subject to on-going review.
2. Organisational Structure
   A Fairness at Work Co-ordinator needs to be appointed and suitable supporting infrastructure provided. The position and status of the Co-ordinator needs to be firmly established.
3. Marketing and Communication
   Staff need to know all about the new policy and how they can access it.
4. Training
   All those who will be involved in the new process will require some initial training concerning the policy. The emphasis on the training will be helping managers recognise and deal with conflict in the workplace, negotiating skills, and finding routes to resolution.
5. Support
   Everyone involved in these cases needs support or access to support. Staff need to know who they turn to for help and how that help can be accessed.
6. Monitoring
   A key role for the Co-ordinator will be to monitor the effectiveness of not only the new policy, but the effects of training. Learning needs to come from each and every case. There are also statutory obligations (Race Relations Amendment Act) to collect and analyse data.

C. Financial implications

The new procedure will create a new post of Fairness at Work Co-ordinator. There will also be a training abstraction to familiarise managers and advisors with the new procedures. The cost of these initiatives will be contained by the identification of compensating savings within existing resources.

D. Background papers

Report 12 to Human Resources Committee 7 March 2002.

E. Contact details

Report author: Michael Shurety, Director of HR Services, MPS.

For information contact:

MPA general: 020 7202 0202
Media enquiries: 020 7202 0217/18

Appendix 1: Metropolitan Police Service Fairness at Work Policy

Draft 4 13 June 2002

1. Introduction The Fairness at Work Policy is a new policy, which will replace the Metropolitan Police Service Grievance Procedure. It is being introduced to encourage staff who are unhappy about the way they have been treated at work to raise the matter without fear of recrimination and to explore ways to find an acceptable outcome.

2. Application The policy will take effect from . It will apply to all MPS staff. Every member of staff should be aware of their right to raise concerns; Managers have a responsibility to take action to resolve matters at an early stage and to be able to advise staff as to the content of this policy.

3. Purpose This policy will offer every member of staff the right to have their concerns examined by an impartial process that will be overseen by senior management. It seeks to address staff concerns raised about the old grievance procedure, which ceases to exist on the introduction of the Fairness at Work Policy. Grievances lodged prior to the commencement date of …… will continue to be administered under the MPS Grievance Procedure.

4. Scope Members of staff may raise concerns about any issue in which they feel they have been treated badly by a manager or another member of staff. If, however, the concern arises from use of an MPS policy, which has its own appeal process, this appeal process should be used in preference to the Fairness at Work Policy.

5. Policy Statement First line managers are encouraged to take early action to resolve concerns of staff. A member of staff may invoke the Fairness at Work Policy at any time. The formal stages are commenced by the completion of a Form X. This prompts a review of the circumstances by an appropriate person. At the conclusion of Step 1, the Originator may appeal the outcome. A more senior manager will consider the appeal. The appeal stage is the final stage of the policy, which will be overseen by a new post of Fairness at Work Co-ordinator.

6. Benefits The Fairness at Work Policy offers all members of staff the opportunity to have their concerns reviewed by a person with appropriate knowledge, skills and experience in the subject matter. There are stages in the procedure for a review of process and timescales. It will be overseen by a new post whose major responsibility will be to ensure the integrity of the process, monitor its use and oversee the implementation of outcomes. The benefit for staff will be a process that can be relied upon to treat any concerns seriously and fairly and within a reasonable timescale.

7. Responsibilities The Policy was prepared by . It will be overseen by the Committee.

8. Associated Document and Policies

9. Annexes The Policy is supported by the following Annexes

• Normal Managerial Action Annex A
• Normal Managerial Action – Flowchart Annex B
• Fairness at Work Procedure - Step 1 Annex C
• Fairness at Work Procedure - Step 1- Flowchart Annex D
• Fairness at Work Procedure - Step 2 Annex E
• Fairness at Work Procedure - Step 2- Flowchart Annex F
• Questions and Answers Annex G

Annex A

Normal managerial action

Line managers are required to deal with concerns of staff at an early stage. There may be occasions where the matter raised cannot be resolved by the line manager perhaps because it would require action at a higher level to change policy. The Originator should be advised to pursue the matter via the Fairness at Work Procedure.

There may be occasions when the line manager fails to resolve a matter to the satisfaction of the Originator and again any further action should be via the Fairness at Work Procedure.

The Originator may feel that the matter cannot be referred to their line manager, perhaps because they are the subject of their concern, in this instance the Originator may choose to seek the assistance of another party to resolve the issue, for example, a member of a staff association, trade union or support group, e.g. the Black Police Association. The Originator may choose to proceed directly to the Fairness at Work Procedure.

The fairness at Work procedure should not be used if the concerns arise from another MPS procedure that has its own appeal machinery.

Annex B is available as a PDF document (see Supporting material).

Annex C

Step 1

1. The Originator records their concern on Form 1 and
2. Form 1 is forwarded to the personnel manager.
3. The personnel manager will liaise with the OCU Commander and a Fairness at Work Advisor will be appointed. (Within 2 working days)
4. The Fairness at Work Co-ordinator is notified.
5. The Fairness at Work Advisor will contact the Originator within 2 working days of being appointed and discuss an action plan for considering the concerns. (Meeting dates and venues, etc.)
6. The Fairness at Work Advisor will remind the Originator and Subject of their right to representation.
7. The Fairness at Work Advisor will examine the circumstances and may wish to see the Originator, Subject, witnesses and line manager. If the Subject refuses to co-operate in the process the Originator has the right to request that the matter proceeds directly to the next stage. The Fairness at Work Advisor will produce a written report.

The report will be discussed the Originator.

8. At the outcome of the process the Originator will complete the final part of Form 1 identifying:
   1. They agree with the findings and are satisfied, action completed.
   2. They do not agree with the findings but do not wish to appeal.
   3. They do not agree with the findings and wish to appeal.

The Originator, Subject, Fairness at Work Advisor and the Representative will sign the form.

9. All documentation will be forwarded to the Fairness at Work Co-ordinator via the OCU Commander.

Annex D is available as a PDF document (see Supporting material).

Annex E

Step 2 (Appeal)

1. If the Originator is not satisfied with the outcome of Stage 1, they will complete Form 2, which will be forwarded to the Fairness at Work Co-ordinator.
2. The Fairness at work Co-ordinator will liaise with the OCU Commander and appoint a Fairness Appeal Advisor. (Within 3 working days)
3. The Fairness Appeal Advisor will contact the Originator within 2 working days of appointment to discuss an action plan for dealing with the appeal.

The Fairness Appeal Advisor will remind the Originator and Subject of their right to representation.

The Fairness Appeal Advisor may wish to see the Originator, Subject, Line Manager, Fairness at Work Advisor and Witnesses as appropriate.

The Fairness Appeal Advisor will keep the Originator and Subject updated as to progress and will deal with the matter swiftly, ideally within 10 working days unless the agreed action plan has proposed alternative timescales.

4. The Fairness Appeal Advisor will produce a report, which will be discussed with the Originator. The Originator will complete the final part of Form 2 to indicate: -
   1. They are satisfied with the process and outcome.
   2. They are satisfied with the process but not the outcome.
   3. They are not satisfied with the process or outcome.

In the event of b and c, they will be asked to record their reasons in writing.

5. The documentation will be forwarded to the Fairness at Work Co-ordinator who will consider the documentation and responses contained in Form 2.
   1. If the Fairness at Work Co-ordinator considers that there has been a breach in procedure at Step 2, another Appeal Advisor may review the matter
6. In all other outcomes, the Originator will be advised that the Fairness at Work Procedure is exhausted.

Annex F is available as a PDF document (see Supporting material).

Annex G: MPS Fairness at Work Policy - Frequently Asked Questions and Answers

A. General questions

1. Why has this policy been introduced?
Staff and their representatives have raised concerns about the MPS. Grievance Procedure. At the same time, the Employment Bill (due for Royal Assent during 2002) includes proposed changes to the way grievances are managed and the rights of staff to proceed to Employment Tribunal. This new policy seeks to address internal concerns and respond to forthcoming legislative changes.

2. Is there still a Grievance Procedure?
No. The Fairness at Work Policy replaces the MPS. Grievance Procedure.

3. Is it just a change of name?
No. The Policy is quite different. It has addressed all the concerns raised by staff and as such, it was felt that it should be retitled to describe its true purpose.

4. How is this Policy different to the Grievance Procedure?
There are three main differences:

1. The first step identifies a suitable person to review the circumstances. This person will not normally be within the respective management hierarchy. It will be someone who has particular skills to deal with the matter and will have regard to any cultural or gender issues. (Therefore, it may be someone of the same rank or pay band.)
2. There are only two stages in the process. The second and final stage is an appeal, which will be considered by a more senior member of staff.
3. The policy will be overseen by the Fairness at Work Co-ordinator who may be a senior police officer. The responsibilities of this role will include monitoring the effectiveness of the policy, for ensuring all matters are handled fairly and in a timely manner and that outcomes are implemented.

5. What matters may be raised under this Policy and by whom?
Any member of staff may use the Policy. There are no 'rules' about what the matter may or may not concern. Any member of staff who feels that they have not been treated fairly or appropriately by a colleague, manager or other member of MPS staff may use the policy. It is, therefore, reasonable to expect that the policy will be used to address relatively minor and quite serious issues. The only requirement is that if the issue concerns a matter appertaining to an existing MPS. policy any appeal machinery of that policy should be used in preference to the Fairness at Work Policy.

6. What happens if I have used the appeal machinery of a policy and I am not happy with the outcome?
It is possible that you may be able to use the Fairness at Work Policy if you feel you have been treated unfairly during your appeal or that the procedure was breached. You should take further advice from your representative.

7. Can I take my concerns to an Employment Tribunal?
Employment Tribunals consider matters that relate to specific issues. You should take advice from your Representative or personnel manager. It may be necessary to lodge your claim (if appropriate) with the Employment Tribunal Office. The Employment Bill when enacted in April 2003 will change the notification period and will, in most cases require the Plaintiff to complete the internal process before the case may be heard before an Employment Tribunal.

8. What if I have a question that is not addressed in these questions and answers?
You should contact your staff representative in the first instance. Your personnel manager will be able to assist with procedural matters. You should not contact the Fairness at Work Co-ordinator directly. If your question cannot be answered locally, your Personnel Manager will seek further advice on your behalf.

B. Questions about normal Managerial Action

1. Do I have to raise concerns with my Line Manager?
An important part of your line manager's responsibility includes the resolution of staff problems. If you later invoke Step 1 of the formal procedures, your Line Manager will be asked how they attempted to resolve the matter locally. It is recognised, however, that it may not be appropriate to involve your line manager, perhaps because they are the subject of your concern. In this eventuality, you should proceed directly to Step 1.

2. Does the MPS intend to train managers on how to resolve problems and as to how this procedure should be used?
Yes, this is viewed as an important priority. All new managers are now receiving training on this Policy. There is an ongoing commitment to train other managers but this will obviously take time. Step 1 of the formal process will include a review of the line manager's early actions when the matter was first raised with them. This may identify some training needs, which will be addressed. The PDR process may also identify training needs that will subsequently require training to be provided.

C. Questions about Step 1

1. Where do I obtain the Form to use in Step 1?
This form is available on the Intranet or from personnel managers. The form should be completed and sent to the personnel manager.

2. What if my concerns are about the actions of my Personnel Manager?
In this instance the form should be sent to the Borough Commander or Head of Department who will liaise with the Fairness at Work Co-ordinator on the selection of a suitable person to look into the issues raised.

3. What is a Fairness at Work Advisor?
A Fairness at Work Advisor is a member of MPS. Staff who has received specific training on the use of the Policy. These will be members of police or civil staff at all ranks and grades and will comprise members of all the diverse groups that constitute the staff of the MPS.

4. How will the Fairness at Work Advisor be selected?
The personnel manager and Divisional Commander/Head of Department will liaise and consider the nature of the concern. The Fairness at Work Advisor will be selected on the basis of their: - 

1. Experience skills and knowledge to deal with the particular issue.
2. Their availability to carry out the review in a timely manner.
3. Understanding/experience of any relevant/cultural/gender issues.
4. Rank or grade appropriate to the matter raised. (Please note at the 1st stage, the most appropriate person could be of the same rank/grade as the Originator.)
5. Impartiality to any previous attempt to resolve the issue (which may result in an appointment from another OCU/Borough).

5. Can I object to the selection of the Fairness at Work Advisor?
The Originator and/or subject may have concerns over the choice of Fairness at Work Advisor. Any concerns should be raised with the personnel manager in the first instance. Any reasonable/objective concerns will be fully considered and, if appropriate, an alternative Advisor may be appointed.

6. What if the Subject refuses to co-operate with the review by the Advisor?
In this eventuality, the Originator will reserve the right to proceed directly to the Appeal Stage if they so wish.

7. What will the Fairness at Work Advisor do as part of their review?
They will speak to the Originator and the Subject to gather their respective points of view. They will speak to the Line Manager of the Originator to ascertain what early action was taken to resolve the matter. They may feel it necessary to talk to other parties – e.g. witnesses or policyholders to gather the appropriate information. When the work is finished, they will complete a report, which will be shared with the Originator.

8. What Timescales will be set?
Forthcoming legislation stresses the need to deal without undue delay. Whilst it would be ideal to have Step 1 completed within 10 working days, a rigid enforcement may affect the ability to deal with the matter most appropriately. The Fairness at Work Advisor will agree an Action Plan with the Originator that will include proposed timescales. If these timescales are revised, it will be carried out with the agreement of the Originator.

9. What if the Originator is unhappy with the findings of the Report?
They will be invited to make any comments in writing at the end of the process.

10. Why does the Originator complete a form at the end of this process?
The Originator will be asked to complete the final part of form 1 at the conclusion of Step 1. They will be asked to consider:

1. They agree with the findings and are satisfied. Matter closed.
2. The report did not resolve the matter to their satisfaction but they did not wish to progress the matter further.
3. The report did not resolve the matter to their satisfaction and they wish to appeal.

This form will be signed by the Originator, Subject, Representative and the Fairness at Work Advisor (to confirm they had been given sight of its content).

If b) was selected the Representative would be asked to indicate that this choice had been fully considered and that there had been no duress to take no further action.

11. What happens to all the paperwork from Stage 1?
The Fairness at Work Co-ordinator is responsible for monitoring the policy. This will include the publication of statistics as required under the Race Relations (Amendment Act 2000). The personnel manager will ensure all documentation is forwarded to the Fairness at Work Co-ordinator.

12. Can I be represented in this process?
Yes. The Originator and the Subject have the right to consult and be accompanied by a Member of Staff Association, Trade Union or another serving member of the MPS. (including other support organisations).

13. Is it possible for outside or other mediation processes to be used?
Yes. The Fairness at Work Advisor will be aware of other options for mediation and these options will be discussed with the parties concerned.

D. Questions about Step 2

1. Does the completion of Form 2 automatically trigger an Appeal?
No. If the Originator decides to appeal, they must complete Form 2, which is sent via the Divisional Commander to the Fairness at Work Co-ordinator.

2. How is the Appeal Advisor chosen?
The Fairness at Work Co-ordinator will liaise with the Divisional Commander in the selection of an Appeal's Advisor. The same process as detailed at C4 will be considered but this time the Appeal's Advisor will be a more senior member of police or civil staff.

3. Can I object to the appointment of an Appeal Advisor?
Yes, the process is as detailed at C5 but the concerns should be raised via your Representative to the Fairness at Work Co-ordinator.

4. What will the Appeal Advisor do?
They will obtain all previous documentation and will agree an Action Plan with the Originator. The Appeal's Advisor will interview staff and gather information, as they deem appropriate. At the conclusion, a Report will be produced.

5. What does Form 2 do?
At the conclusion of Step 2 the Originator will be asked to record:

1. They are satisfied with the process and outcome.
2. They are satisfied with the process but not the outcome.
3. They are not satisfied with the process or outcome.

In the event of b) and c) the Originator will be asked to record their reasons. This Form will be considered by the Fairness at Work Co-ordinator.

6. If the Fairness at Work Co-ordinator, having read any concerns of the Originator decides that the procedure has been breached the matter may be reviewed by another Appeal Advisor. In all other circumstances the Originator will be advised that the process is exhausted.

7. What will the Fairness at Work Co-ordinator do with the documentation?
The documentation will be retained by the Fairness at Work Co-ordinator for a period of 'x' years. Details will be recorded on a computerised system (in accordance with the Data Protection Act 1998) and information will be extracted and: 

1. Published in accordance with the Race Relations (Amendment) Act 2000.
2. Shared with Managers and Senior Officers
   1. To ensure organisational learning is derived from the process.
   2. So that appropriate action may be taken where trends are identified.
   3. To inform the development of training provision.

In all cases the names of staff will be excluded from this process

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