Grievance Handling

A grievance is a sign of an employee's discontentment with his job or his relationship with his colleagues. Grievances generally arise out of the day-to-day working relations in an organization. An employee or a trade union protests against an act or policy of the management that they consider as violating employee's rights. One of the effective ways of minimizing and eliminating the source of an employee's grievance is by having an open door policy'. An open door policy'facilitates upward communication in the organization where employees can walk into a superiors'cabin at any time and express their grievances. The National Commission on Labor suggested a Model Grievance Procedure, which lays down the sequence of steps to be taken whenever a grievance is expressed. Conflict occurs when two or more people or parties perceive an incompatibility in their goals or expectations. There are seven methods for achieving reconciliation of conflict. These methods are win-lose, withdrawal and retreat from argument, smoothing and playing down the difference, arbitration, mediation, compromise and problem solving. Of all these methods problem-solving'method is most likely to bring about a win-win situation.

Grievance procedure is a formal communication between an employee and the management designed for the settlement of a grievance. The grievance procedures differ from organization to organization.

1. Open door policy2. Step-ladder policy

Open door policy: Under this policy, the aggrieved employee is free to meet the top executives of the organization and get his grievances redressed. Such a policy works well only in small organizations. However, in bigger organizations, top management executives are usually busy with other concerned matters of the company. Moreover, it is believed that open door

policy is suitable for executives; operational employees may feel shy to go to top management.

Step ladder policy: Under this policy, the aggrieved employee has to follow a step by step procedure for getting his grievance redressed. In this procedure, whenever an employee is confronted with a grievance, he presents his problem to his immediate supervisor. If the employee is not satisfied with superiors decision, then he discusses his grievance with the departmental head. The departmental head discusses the problem with joint grievance committees to find a solution. However, if the committee also fails to redress the grievance, then it may be referred to chief executive. If the chief executive also fails to redress the grievance, then such a grievance is referred to voluntary arbitration where the award of arbitrator is binding on both the parties.

GRIEVANCE PROCEDURE IN INDIAN INDUSTRY

The 15th session of Indian Labor Conference held in 1957 emphasized the need of an established grievance procedure for the country which would be acceptable to unions as well as to management. In the 16th session of Indian Labor Conference, a model for grievance procedure was drawn up. This model helps in creation of grievance machinery. According to it, workers representatives are to be elected for a department or their union is to nominate them. Management has to specify the persons in each department who are to be approached first and the departmental heads who are supposed to be approached in the second step. The Model Grievance Procedure specifies the details of all the steps that are to be followed while redressing grievances. These steps are:

STEP 1: In the first step the grievance is to be submitted to departmental representative, who is a representative of management. He has to give his answer within 48 hours.

STEP 2: If the departmental representative fails to provide a solution, the aggrieved employee can take his grievance to head of the department, who has to give his decision within 3 days.

STEP 3: If the aggrieved employee is not satisfied with the decision of departmental head, he can take the grievance to Grievance Committee. The Grievance Committee makes its recommendations to the manager within 7 days in the form of a report. The final decision of the management on the report of Grievance Committee must be communicated to the aggrieved employee within three days of the receipt of report. An appeal for revision of final decision can be made by the worker if he is not satisfied with it. The management must communicate its decision to the worker within 7 days.

STEP 4: If the grievance still remains unsettled, the case may be referred to voluntary arbitration.

Flow Chart for Grievance Procedure

PurposeThe purpose of this document is to: provide a framework for resolving work related concerns and grievances promptly, impartially, justly and with the appropriate sensitivity provide informal and formal mechanisms to manage and resolve problems so that no parties are favoured, and define the responsibilities and rights of Staff, Supervisors and Managers at State Records in resolving grievances. Prompt treatment of grievances will help to foster a productive, equitable and harmonious workplace.PrinciplesState Records is committed to the following principles in dealing with work-related grievances: all officers managing grievances are suitably trained to do so staff are consulted in the development of the agency policy and procedure grievances are handled in a fair, impartial and just manner action is taken promptly within agreed timeframes and processes confidentiality is of the utmost importance and is respected by all parties at all times. Failure to maintain confidentially in the handling of a grievance can, in itself, be regarded as misconduct parties are protected from victimisation, and all employees have a choice of processes, for example, resolution at the workplace level through an informal process or a formal process. Relevant legislationThe processes recommended in this document are in accordance with the following legislation (where applicable): Anti-Discrimination Act 1977 Crown Employees (Public Service Conditions of Employment 1997) Award Freedom of Information Act 1989 (Part III) Government and Related Appeals Tribunal Act 1980 Industrial Relations Act 1996 (NSW) Occupational Health and Safety Act NSW 2000 Public Sector Employment and Management Act 2002, and Protected Disclosures Act 1994. DefinitionsDisputeA clear statement by an individual or a group of employees on a question, difficulty or conflict with the interpretation, application or operation of an award or agreement. It may arise from the failure of a negotiation process for an industrial award or agreement. If such a matter is not resolved at the local level, procedures in the relevant act, award or agreement should be used.Grievancea clear statement, oral or written, by an employee of a work-related problem, concern or complaint, including those involving: the interpretation and application of an agencys personnel policies. This includes allocation of work, job design, performance management, job evaluation outcomes and matters related to flexible work practices a workplace communication or interpersonal conflict an occupational health and safety issue an allegation of discrimination within the meaning of the Anti-Discrimination Act 1977, including harassment, or a question or difficulty concerning the interpretation, application, or operation of an award/enterprise agreement or other agreement. Protected Disclosuresare disclosures concerning corrupt conduct, maladministration or serious and substantial misuse of public money. These issues are covered by the Protected Disclosures Act 1994, under which it is an offence to take reprisal action against employees who report such matters.For more information on Protected Disclosures please refer to the Protected Disclosures Policy available through the State Records Intranet or contact the State Records Protected Disclosures Officer, Jim Sinclair, Executive Officer, City, Ph: 8247 8654.2 General advice that applies to grievance resolution processes Lodging or withdrawing a grievance Managing a grievanceLodging or withdrawing a grievanceInformal or formal methods of lodgementGrievances can be managed informally or formally the steps for each of these methods are outlined below. Employee(s) may nominate the course of action they wish to undertake, given the nature and scope of the grievance. An initial choice of an informal process does not preclude the employee from: withdrawing the grievance requesting that, at any stage, formal processes be used. With whom a grievance should be lodgedA grievance can be lodged internally or externally or both at any time. However, both State Records and the union, the Public Service Association (PSA), encourage employees to initially raise their grievance internally and only resort to raising the grievance externally if it cannot be internally resolved.Grievance resolution processes require that the matter be first dealt with as close to the source of the grievance as possible so the matter should be lodged internally with the direct supervisor, where possible. All supervisors and managers are Grievance Receivers - it is part of each supervisors job to listen to any grievances of their staff and assist in solving them.An employee raising a grievance has a right to be supported and to have their grievance resolved. The direct supervisor should listen with an open mind, gather all relevant facts and act promptly and fairly, taking a consistent approach. The supervisor should also follow up to ensure that the correct action has been taken and the cause of the grievance is properly addressed.When it is inappropriate for the immediate supervisor or manager to deal with the issue identified (for example, when the issue involves the supervisor or manager, or when the employee concerned does not feel comfortable about approaching their own supervisor or manager) the matter can be lodged with a senior officer at the next level, or with the Human Resources Team who are also Grievance Receivers.Method of lodgementA grievance can be lodged verbally or in writing.Withdrawing a grievanceA grievance can be withdrawn at any time in writing with all aspects of confidentiality being maintained throughout. No further action will be taken unless the grievance relates to possible physical danger, criminal investigation, disciplinary action or employer liability. In these cases it will be referred to the appropriate Grievance Manager.ConfidentialityGrievance Receivers are required to maintain confidentiality and will not discuss the grievance with others without the agreement of the employee who lodged the grievance. The exceptions are in circumstances where it is considered that someone is in danger, or disciplinary action and/or criminal investigation may be necessary, or employer liability may be involved. Any necessary discussion of the grievance among relevant managers will remain confidential.Managing a grievanceRight to support and adviceAt any time in lodging or the management of a grievance, an employee has the right to ask for support or advice from a sign or language interpreter or any other specialist, and the right to consult with or be accompanied/represented by another employee and/or a member of the PSA.An employee who wishes another staff member and/or a member of the PSA to be present when lodging or discussing a grievance must clearly indicate at the outset the role of this person. For example, the person may be there as a silent witness to proceedings or may be representing the employee in some manner. All parties concerned must then ensure that the role indicated of this person is strictly maintained.State Records Equal Employment Opportunity (EEO) Co-ordinator should be informed of a grievance lodged if it is serious and involves discrimination or EEO.Right to answer grievanceIf a grievance involves another person, they should have the right to present their version and to also have access to support and advice.Inability or unwillingness to manage the grievanceIf the officer who has received the grievance does not feel able to handle the matter, it should be discussed with the employee who lodged the matter within 48 hours, with a view to determining the next course of action. The options are to raise the concern through another channel and/or to refer the matter to a more senior officer if the matter is considered more serious.Communication and agreement required for actionIn seeking to resolve a grievance the officer in question should only take action that has been agreed upon with the employee who has lodged the matter, and that person should be informed regularly of progress on the matter.Informing external bodies in serious or criminal circumstancesIf the matter involves serious circumstances (for example, death threats, or sexual assault), the matter should be investigated fully even if the employee raising the concern wishes to withdraw the grievance or does not consent to action being taken. Criminal matters will always be referred to the police.Keeping written recordsWritten records will be maintained on all aspects of a grievance. The Manager, Corporate Resources and the Human Resources Officer will administer all grievance files and correspondence on behalf of and at the direction of the Grievance Handling Managers in both locations, who are responsible for the operation of the Grievance Handling System at State Records.All information relating to specific grievances will be secured under the Human Resources Security caveat available through TRIM, and where required information pertaining to an individual grievance may be forwarded to a Manager for resolution. The Manager assigned the grievance is responsible for liaising with the Human Resources section to ensure that all paperwork relating to the grievance is secured by the Human Resources Officer on the appropriate file within TRIM without delay. All files held will be subject to the application of General Disposal Authority 12 Personnel Records. The Records Officer will be consulted before any file is destroyed.3 Stages in the informal grievance resolution process Overview Flowchart Stage 1: Notification to subject of grievance Stage 2: Seek assistance Stage 3: MediationOverviewInformal resolution of grievances at the local level can be the most effective way of dealing with many issues. While this approach is informal, grievances raised in this manner will be taken seriously and every effort made to resolve them.FlowchartThe flowchart shows the stages and decisions involved if the grievance is raised informally according to the grievance resolution process. Stages will only be taken if the situation escalates and should be taken in accordance with the general advice given above. No disruption of work should occur when these stages are being undertaken:

Stage 1: Notification to subject of grievanceIf the employee with the grievance feels comfortable, they should approach the person(s) directly and inform them of the substance of the problem. For example, where the matter relates to interpersonal issues, such as harassment, the person should be told that their behaviour is considered to be unacceptable or offensive. Often, people do not mean to do things that hurt or offend others, this does not mean their behaviour is acceptable. Telling them so can give them a chance to stop or to change what they are doing.Stage 2: Seek assistanceThe employee with the grievance should ask for help if they feel that they cannot approach the person personally, or if this approach does not work. They can seek assistance from their supervisor. If this is not appropriate they can talk to a spokeswoman, any other supervisor or manager, a member of the Human Resources Team or a PSA representative. The person approached will either attempt to obtain resolution or forward the matter to an appropriately trained officer.Stage 3: MediationIf the grievance is not resolved at this stage, the assistance of an independent and accredited mediator can be used to assist the parties to reach a satisfactory solution. The mediator must be acceptable to all of the parties and may be from State Records or another public sector agency or be an individual from outside the NSW public sector.If mediation is unsuccessful, the person making the grievance can request the use of the formal grievance process. As a guide, every effort should be made to resolve grievances raised through an informal process within two weeks. If still unresolved, and progress is not being made towards a resolution, the Grievance Receiver should refer the matter to a Grievance Manager.4 Stages in the formal grievance resolution process Overview Flowchart Stage 1: Notification Stage 2: Meeting Stage 3: Examination Stage 4: Making recommendations Stage 5: Referral to external bodyOverviewGrievances can be raised formally from the beginning or an informal process to address grievances may become a formal process.FlowchartThe flowchart shows the stages and decisions involved if the grievance is raised formally according to the grievance resolution process. Stages will only be taken if the situation escalates and should be taken in accordance with the general advice given above. No disruption of work should occur when these stages are being undertaken:

Stage 1: NotificationThe employee(s) will notify their immediate supervisor, or other appropriate person, orally or in writing, of the substance of the grievance, and request a meeting to clarify the grievance and the remedy sought.Stage 2: MeetingThe immediate supervisor or person to whom the matter has been referred is to hold a meeting with the employee(s). A support person can be in attendance at this meeting at the employees request. This meeting is to be held where practicable within 4 hours of receipt of the grievance.If an informal attempt to resolve the matter has not been made, such an approach may be suggested at this stage.Stage 3: ExaminationFollowing clarification of the grievance at Stage 2, the grievance receiver will consult with the Grievance Manager at their location.The Grievance Manager will, with the agreement of the employee making the grievance and within 48 hours, decide who is to fully examine the matter and make recommendations for its resolution.The examination (to be conducted within one week of the meeting with the Grievance Manager) will involve: informing the person who is the subject of the grievance of its nature providing this person(s) with the opportunity to answer the allegations interviewing people who can help to ascertain the facts obtaining documentation that is necessary, and identifying options for the resolution of the matter and discussing these with the parties involved in the grievance.Stage 4: Making recommendationsThe person examining the grievance will report the facts of the matter, options for resolution and recommended options to the Grievance Manager or their delegate. The Grievance Manager or the Director (or delegate) as appropriate, will arrange to meet with all involved parties (including a union delegate or other support person where involved) to discuss the preferred option for resolution.Any objections by the parties will be noted and taken into account by the Director or Grievance Manager in making a final decision on the matter.Stage 5: Referral to external bodyIf the matter remains unresolved to the satisfaction of the parties, the Grievance Manager will provide a written response within two weeks, including reasons for not implementing any proposed remedy. If the parties agree, the grievance may then be referred to a mutually acceptable independent mediator/arbitrator or to the appropriate Industrial Tribunal.Depending on the type of complaint and the issues involved, the grievance may also be forwarded to other agencies such as the Anti Discrimination Board, The Independent Commission Against Corruption (ICAC), The Public Sector Management Office (PSMO) or the Government and Related Employees Appeal Tribunal (GREAT).Alan VentressDIRECTORAppendix 1: Accountabilities and responsibilitiesThe following table indicates the responsibilities for grievance handling within State Records:PositionResponsibility to..

Director take a leadership role in demonstrating a commitment to the resolution of employees workplace grievances ensure that there is an effective, timely, impartial and just system for dealing with employees work-related grievances

Executive Officer the Grievance Manager receive grievances manage the grievance resolution system

Managers Grievance Receivers receive grievances Ensure that: access to grievance resolution processes is open and fair for all employees people who deal with employee work-related grievances are adequately trained and supported employees understand and have confidence in the system to deal with their grievances grievances are dealt with promptly impartially, justly and confidentially follow-up occurs to ensure the outcomes of the resolution are achieved people who raise concerns and grievances are not victimised, and statistical records are kept to enable the effectiveness of the system to be assessed.

Supervisors Grievance Receivers encourage employees to understand the agencys processes for resolving work-related grievances provide timely and confidential assistance to employees including: advising employees on available options receive grievances where practicable and appropriate, attempting to resolve issues at the local level through an informal procedure advising employees on further action if a local resolution is not achieved following-up and monitoring when issues have been resolved ensuring the parties are not victimised, and keeping records in accordance with appropriate processes.

Human Resources Team Grievance Receivers encourage employees to understand the agencys processes for resolving work related grievances receive grievances act as impartial observers in meetings if requested provide timely and confidential assistance to employees keep records in accordance with appropriate processes

Employees prevent victimisation and harassment throughout the work environment take prompt action on work-related grievances in accordance with appropriate processes

PSA delegate represent an employee in the course of the grievance if the employee wants their representation act as an observer for an employee if they want the delegate to do so