1. Purpose
1.1 Purpose
This Policy sets out the Bank’s framework when dealing with grievances raised by employees in relation to problems or concerns with their work, including their working conditions, or relationships with colleagues.
The Bank recognises your right to raise a grievance in relation to any problems or concerns with your work, without fear of retribution. The purpose of this policy is to let you know who you can turn to if you have a grievance, and how the Bank will resolve the grievance as quickly and fairly as possible.
The Bank is committed to promoting equality and diversity and will make reasonable adjustments to the application of this policy and associated procedure.
1.2 Legal & Regulatory Obligations
The ACAS Code on Discipline and Grievance Procedures gives guidance on the correct way to handle grievances and has been taken into account within this policy and associated procedure.
In addition to meeting its legal obligations, the Bank as an Arm’s Length Body (ALB) is required to meet the Government Functional Standards where applicable. This policy includes elements of the Obligations relating to Government Functional Standard 003 (Human Resources) as appropriate.
1.3 Alignment to Risk Appetite
This Policy sits under the Level One Risk category, People Risk.
It aligns to the Level Two Risk Category, Conduct and Culture, which is defined as the ‘Risk that Bank employees fail to act in accordance with end customers’ best interests, fair market practices, or the Bank’s Code of Conduct; or that our culture does not support and drive appropriate colleague behaviours and decision making.’
Risk appetite is the type and level of risk the Board is willing to take to deliver its strategy and public policy objectives. The Bank’s risk appetite in relation to Conduct and Culture is set at Low
2. Scope
This policy shall apply to all Employees of the Bank’s entities, subsidiaries and operations. Please refer to Appendix 1 below for further information.
This policy applies to all instances connected with the employment relationship, for example business trips, training courses, work related social activities as well as comments made via social media or content platforms such as Facebook, LinkedIn, X etc.
This policy does not form part of your contract of employment and the Bank may amend it at any time and may depart from it depending on the circumstances of any case. The Bank will continue to review this policy, to ensure that it is achieving its aims and complies with all relevant legislative changes.
This policy may be used by an employee on their own or collectively with other employees, otherwise known as a “collective grievance”.
This policy cannot be used as an additional means of appeal against a decision or sanction under another policy.
The procedure does not apply once employees have left employment with the Bank however, the Bank will consider the merit of any grievances submitted after an employee has left the organisation and may decide that an investigation will take place using a modified procedure dependant on the nature of the grievance.
3. Key Requirements
The Bank shall, as a minimum, adhere to the ACAS Code on Discipline and Grievance and associated ACAS guidance.
If you raise a genuine grievance in good faith, or support someone in raising their genuine grievance, you will be protected from any related detriment and will not be victimised, or placed at any disadvantage, because of raising or supporting a grievance. However, please note that if a grievance is found to be knowingly malicious or vexatious, you may be subject to disciplinary action up to and including dismissal in line with the Bank’s Disciplinary Policy.
3.1 Roles and Responsibilities
The Bank commits to training managers and communicating with all other employees about their rights and responsibilities under this Policy.
All employees have a duty to ensure that they are aware of, and comply with, the Bank’s policies and procedures. Managers are also responsible for dealing with complaints informally wherever possible and in any event, as consistently and as swiftly as is reasonably practicable.
4. Overview of the Grievance Process
4.1 Representation
You may be accompanied at any formal grievance meeting (i.e. a meeting to discuss a grievance you have put in writing) by either a recognised Trade Union Representative, a Bank volunteer companion or a colleague. This right does not extend to legal representation. No one is obligated to act as your companion, and you should provide details of your companion to HR in advance of your meeting.
If your companion cannot attend the meeting, you can suggest an alternative date and/or time, with the alternative date/time to be within 5 working days of the original meeting
Your companion may address the meeting to put forward your case but does not have the right to answer questions on your behalf unless previously agreed and cannot address the meeting without your permission.
A note taker will be present in all meetings but they will not form part of the decision-making process.
Electronic recordings of any meetings or hearings conducted under this policy are not permitted. All parties attending may take written notes of the meetings.
4.2 Senior Managers & Certification Regime (SM&CR)
Grievances will be heard by an independent manager who is also an FCA Senior Manager if:
1. the person who raises the grievance (”the complainant”) is also an FCA Senior Manager who performs a FCA Senior Management Function (SMF); and,
2. the grievance relates to the performance by the complainant of a Senior Management Function and/or the complainant’s treatment in their role as an SMF
If both of these conditions do not apply a hearing manager will be appointed.
4.3 Informal Procedure
Most grievances are best resolved informally in discussions with your immediate line manager. Therefore, if you have a grievance, you should first discuss it with your line manager. If you feel it is inappropriate to do this, or the grievance relates to your line manager you may raise it with another manager or HR.
You should tell your manager that you are raising your grievance informally and clarify what your desired outcome is. You should allow your manager a reasonable amount of time to deal with your grievance informally.
1.4 Formal Procedure
If your grievance cannot be resolved informally or if it is sufficiently serious you should raise a formal grievance in writing to your line manager or the HR Team. Your grievance should outline your concerns including any relevant facts, dates and names of individuals involved.
A Grievance Hearing Manager will be appointed and will arrange an initial meeting within seven working days to discuss your grievance and to agree the next steps and actions to resolve your concerns.
If your grievance is in relation to a colleague, the Grievance Hearing Manager may need to talk to that colleague. If you are not comfortable with this approach you should discuss that with HR. However, you should be aware that the Bank may not be able to resolve your grievance without obtaining information from colleagues.
You should make all reasonable efforts to attend the grievance meeting. If you fail to attend without good reason, the Bank may proceed with the hearing in your absence and make a decision based on the information available in your absence.
A member of the HR Team may be in attendance in your meeting to advise on the process and facilitate discussions when necessary. There will be a note taker present in all formal meetings.
Depending on the nature of your concerns there may be a need for an investigation. The amount of investigation required will vary from case to case and may involve interviewing witnesses. The investigation may be carried out by the Grievance Hearing Manager, a member of the HR Team or someone else appointed by the Bank. You will be kept informed of the progress of the investigation and a further meeting will be arranged with you once the investigation has concluded. Investigations will be dealt with as confidentially and sensitively as possible.
Colleagues must co-operate fully and promptly in any investigation. This may include providing the names of any relevant witnesses, disclosing any relevant documents (including electronic records) and attending interviews.
Where serious allegations are made or if there is a conflict of interest the Bank may commission an independent investigation.
A grievance outcome meeting will be arranged as soon as possible and normally within one week of the completion of any investigation. During this meeting you will be given the outcome of your grievance and details of any further action that the Bank intends to take to resolve your grievance. The outcome will be confirmed in writing.
Appeals
If you wish to appeal against the decision you will need to appeal in writing, outlining the grounds of your appeal within five working days of receiving a grievance outcome letter.
An independent senior leader will be appointed as the Appeal Hearing Manager.
You will be invited to an appeal hearing, normally within five working days of receipt of the appeal.
The Appeal Hearing Manager will review any new information and carry out further investigation as required.
You should make all reasonable efforts to attend the appeal hearing. If you fail to attend without good reason, the Bank may proceed with the hearing in your absence and will make a decision based on the information available or may consider that you have withdrawn your appeal.
The outcome of your appeal will be confirmed in writing, this appeal decision will be final.
If an employee raises a genuine grievance in good faith, or supports someone in raising their genuine grievance, they will be protected from any related detriment and will not be victimised, or placed at any disadvantage, because of raising or supporting a grievance. However, please note that if a grievance is found to be knowingly malicious or vexatious, the employee may be subject to disciplinary action up to and including dismissal in line with the Bank’s Disciplinary Policy and associated procedure.
4.5 Mediation
Mediation is an informal process where those involved in a dispute or whose relationship is under strain, can air their differences in a voluntary, safe, confidential meeting with the other party, in the presence of a mediator. This may be a Bank colleague or a third party, as appropriate.
Mediation can be used at any point in the procedures, for example where other informal approaches have been unsuccessful, or if an employee does not feel that the formal procedure is the right option.
Mediation is a voluntary option, and it can only be used when all parties agree to take part, and the Bank agrees it is appropriate. There is no penalty or detriment if you choose not to participate in a mediation process.
If you go through mediation and it is not successful, you can then go through the formal grievance procedure.
If you have raised a grievance and decide to pursue mediation, the grievance may be paused while the mediation is taking place. If the issue is resolved informally or through mediation, the formal grievance will be closed.
4.6 Confidentiality & Record Keeping
Confidentiality is an important part of this Grievance Policy. Details of the investigation and the names of all parties must only be disclosed on a need to know basis, including as required for the Bank's legal or reporting obligations or for internal management or accounting purposes. Breach of confidentiality could result in disciplinary action under the Bank’s Disciplinary Policy.
Information about a complaint by or about any colleague may be placed on their personnel file, along with a record of the outcome and of any notes or other documents compiled during the process. Managers involved in the process must ensure that notes are shared with HR for safekeeping.
All records shall be maintained in line with the requirements of the current data protection legislation and the ACAS Code on Disciplinary and Grievance Procedures and supporting guidance.
Employees requiring further information, or advice concerning this policy, should contact a member of the HR Team. The ACAS Code on Disciplinary and Grievance and further useful guidance and information is available on the ACAS website at www.acas.org.uk.
5. Non-Compliance
All identified breaches of this policy must be reported via the Risk Incident Portal on the Bank’s Intranet. Breaches will be assessed by the Policy Owner to determine the further action required and may include disciplinary action in accordance with the Bank’s Disciplinary Policy.
All employees fall within the scope of this policy and are expected to comply with it. All managers have a duty to ensure that they and all the employees they are responsible for are aware of, and comply with, the Bank’s policies and procedures.
6. Aligned Policies, Standards and Procedures
- Prevention of Bullying; Harassment and Sexual Harassment Policy
- Diversity, Equity & Inclusion Policy
- Speak-Up Policy
- Code of Conduct
- Disciplinary Policy
- Health & Safety Policy
- Social Media Standards
7. Key Controls
A key control or a combination of controls which manages the inherent exposure of a risk to an accepted residual level and within the defined risk appetite. The key controls relevant to this policy are contained in the table below:
| Library Reference | Control Title | Control Description |
| C_LIB_C&C_01_2 | Speak Up Procedures | Speak up procedures are in place to allow colleagues to speak up about any wrongdoing during the course of their professional duties (whether they personally observe such wrongdoing or reasonably believe it has occurred, is occurring or likely to occur). The HR team reviews and annually updates the procedures which is approved by the Board. |
| C_LIB_C&C_03_1 | Monitoring completion of All relevant DEI mandatory learning | Director / Managing Director ensures that their business unit team members complete the relevant e-learning modules, including whistle blowing, prevention of Bullying; Harassment and Sexual Harassment, and Equality & Diversity Training and all other relevant HR training as disseminated by HR in line with their training timetable for on a quarterly basis. HR and Compliance will monitor e-learning programme completion rates and report these to senior management accordingly. |
| C_LIB_C&C_01_4 | Disciplinary Policy | This Policy sets out the Bank's framework for managing behaviour and conduct that falls short of the standards that are reasonably expected of employees at all levels |
| C_LIB_RM_02_5 | Colleague engagement survey | The HR team undertakes an annual colleague engagement survey to measure employee engagement and satisfaction across the Bank and develop action plans where necessary to improve the working environment. All business units are expected to participate in the annual survey with results for each unit communicated directly to the Director of the business unit. |
| C_LIB_RM_03_2 | Completion of Performance Reviews | Annual/ mid year performance reviews are completed by line managers against clear goals and skills development plans established with colleagues to ensure capable staff are retained to deliver the vision and strategy. Performance is reviewed on an ongoing basis with formal mid year reviews taking place to provide colleagues with feedback on performance against agreed targets. |
| C_LIB_H&S_03_4 | Approved and embedded H&S Policy | H&S policy is reviewed and approved annually by the relevant committee to ensure the health and safety policy remains relevant, fit for purpose and complies with all relevant laws and regulations. There is a schedule in place to communicate and train staff on the requirements of the policy |
| C_LIB_C&C_02_1 | Management of employee relations matters | Management training will take place regularly on how to recognise and how to manage employee relations matters as they arise. Support will be provided by the HR business partnering team. |
8. Definition of Terms
Grievances
Grievances are concerns, problems or complaints raised by an employee. Anybody may at some time have problems or concerns with their work including their working conditions or relationships with colleagues that they wish to raise. Issues that may give rise to grievances include:
- terms and conditions of employment
- health and safety
- work relations
- bullying and harassment
- new working practices/organisational changes
- discrimination
The above list is not exhaustive and is for guidance only.
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