labour relations - obamifs2.beta.obami.com/aoy/lrs2_sectionnotes.pdfmanagement’s practices. the...

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Labour Relations Short Course

Section 2 - Grievance Procedures in Practice

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CONTENTS

1. Grievances ................................................................................................................................ 3

1.1 Need for a Grievance Procedure ............................................................................... 4

1.2 Possible causes of grievance ....................................................................................... 5

1.3 General effects of grievances on the workplace..................................................... 6

1.4 Establishment of Procedures ........................................................................................ 7

1.5 The Grievance Procedures ........................................................................................... 8

1.6 Principles of fairness ..................................................................................................... 10

1.7 Principles of confidentiality include .......................................................................... 12

1.8 Principles of timeliness include: .................................................................................. 12

1.9 Principles of record keeping include: ....................................................................... 13

1.10 Principles of transparency .......................................................................................... 13

1.11 Ensuring effective grievance procedures ................................................................ 22

1.12 Formalised grievance procedures – SO1, AC6 ...................................................... 23

1.13 Sample of Grievance Policies and Procedures: ...................................................... 25

2. Implementation of the Grievances framework .............................................................. 30

2.1 Communication with relevant stakeholders to ensure participation and

commitment ................................................................................................................. 30

2.2 Capacity building with relevant stakeholders ......................................................... 31

3. Monitor, adjust grievance application and evaluate, analyse and address

grievance patterns.............................................................................................................. 33

3.1 Monitor application of grievance procedure and adjust when necessary ....... 35

3.1.1 Process for monitoring compliance and effectiveness .................................. 35

3.2 Grievance procedures compliant to legal requirements and codes of good

practices ....................................................................................................................... 36

4. Evaluate, analyse and address grievance patterns ...................................................... 36

4.1 Grievance patterns ..................................................................................................... 36

Bibliography................................................................................................................................. 37

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1. Grievances

Workplace grievances or conflict situations involve normally two or more people with

different expectations and views, each one taking a position and acting on what they

believe is right and in accordance with their truth of a situation. In addition, the

organisation has a perspective that must also be taken into account and that normally

takes preference.

A grievance is a sign of an employee’s discontent with their job and its nature. The

employee has got certain aspirations and expectations which he/she thinks must be

fulfilled by the organisation where he/she is working. When the organisation fails to satisfy

the employee’s needs, he/she develops a feeling of discontent or dissatisfaction. Thus,

grievance is caused due to the difference between the employee’s expectation and

management’s practices.

The purpose of grievance procedures is to assist employees to resolve grievances in the

workplace before they escalate to the stage of making a complaint or to the stage

whereby a dispute is declared. The objective is to provide information that enables

employees to act constructively on their own behalf to:

Clarify and understand their situation

Access assistance in accordance with their needs

Choose the best approach to suit their current situation

Know when it’s appropriate to escalate to a formal process

Grievances are often the result of unresolved issues, problems or conflicts that have been avoided or not

addressed to the satisfaction of those involved. Examples include a person:

Feeling they have been unfairly treated by others;

Being excluded or experiencing discrimination;

Being the object of a colleague’s continual jokes and/or taunted in a way that they find offensive

that constitutes harassment;

Fearing that decisions or processes in their group are unethical or even unfair in terms of Labour

Law;

Feeling afraid to complain about something because they fear the consequences from another

person through victimisation/intimidation;

Feeling that a decision that directly affects them doesn’t take into consideration all of the facts,

and that their issues or concerns haven’t been heard.

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It is important to differentiate between a minor issue that creates passing annoyance or

irritation and an issue that is more serious. Issues that affect the employee’s sense of

worth, challenge working relationships, or threaten the employee’s future are examples

of issue that need to be dealt with as they arises due to the impact it has on the working

environment. A way to decide whether an issue needs to be addressed is to determine

whether it is causing a problem that is likely to become worse if nothing is done to resolve

it. For example, are increasing numbers of people becoming involved? Is there a feeling

of hopelessness?

The purpose of grievance procedures is to allow an employee to bring to the attention

of management of the organisation, any dissatisfaction or feeling of injustice which

may exist in respect of the workplace. The organisation should set out and commit to

resolve the grievance in a manner, which is acceptable to the employee(s) and to the

organisation in reasonable means. A grievance therefore will pertain to any

dissatisfaction in regard to matter which is directly directed to the employment

relationship which exists between the organisation/employer and the employee(s)

concerned. However it is essential to note that the grievance policy and procedure

shall not raise the expectation that it provide a platform to negotiate

new/changes/better conditions of employment.

1.1 Need for a Grievance Procedure1

A formalised grievance procedure is necessary in any organisation because:

Most grievances truly disgruntle the employees, which in turn affects their morale,

productivity and their willingness to cooperate with the organisation. If a volatile

1 http://www.scribd.com/doc/10159892/Grievance-Procedure

The golden rule of dealing with grievances is to resolve issues at the lowest possible managerial

level or at plant level. Employees should be encouraged that where they feel that an action is

unreasonable, unfair or has an unduly negative impact on them or the group they function in,

they should take up their concerns directly with the people involved where possible. Early action

at this level generally provides the best opportunity for positive resolution.

A way to decide if an issue needs to be addressed is to determine whether it is causing a

problem that is likely to become worse if nothing is done to resolve it and that will affect the

working environment for others.

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situation develops, it can be promptly resolved through effective grievance

handling procedures. (E.g. if the grievances were handled accordingly during the

period it started to disgruntle employees at the Lonmin Marikana Mine, the entire

Lonmin Marikana Miners’ strike in August 2012 would have been avoided or the

violence could have been reduced.)

It is not always feasible that all complaints of the employees would be settled by

first line supervisors, for these supervisors may not always have sufficient authority

to address the grievances or have proper training for the purpose. Moreover,

there may be personality conflicts and other causes as well.

Grievance procedures can serve as a check point for management to ascertain

how staff are feeling as well as to ensure that all points of opposition is sorted out

within the team or at the lowest level possible and as soon as possible.

The grievance procedure can also serve as an outlet for employee’s gripes,

discontent and frustration. The employees are entitled to legislative, executive

and judicial protection and they can access this through a grievance procedure,

which also acts as a means of upward communication. Senior management

becomes aware of employees problems, expectations and frustrations. Thus they

become sensitive to employee’s needs, and develop practices to enhance

employee well-being within the context of the workplace

The management has complete authority to operate the business as they see fit

in conjunction with their legal and moral obligations as management. Sometimes

a situation might arise were the operations of an organisation directly conflict with

the needs of employees. Thus the need for a grievance procedure arises where

employees can bring this to the attention of management in order for

management to adopt practices that are more employee- friendly.

1.2 Possible causes of grievance2

Grievance can have various forms and reasons but might include the following:

Demands for individual wage adjustments,

Complaints about an incentive/bonus systems

Complaints about the job classifications,

Complaints against a particular supervisor


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Complaints concerning disciplinary measures and procedures.

Objections to the general methods of supervision,

Loose calculation and interpretation of seniority rules, and unsatisfactory

interpretation of agreements.

Promotions

Disciplinary discharge or retrenchment procedures,

Transfer for another department or another shift,

Inadequacy of safety and health services / devices

Non-availability of resources in time

Violation of contracts relating to collective bargaining

Improper job assignment, and

Undesirable or unsatisfactory conditions of work

1.3 General effects of grievances on the workplace3

Unattended grievances may adversely affect the employees, managers and the

organisation as a whole. The effects include, but are not limited to:

On production

Low quality of production

Low quality of production and productivity

Increase in the wastage of resources

Increase in the cost of production per unit (within manufacturing)

On employees

Increase in the rate of absenteeism and turnover

Reduces the level of commitment, sincerity and punctuality

Increases the incidence of accidents.

Reduces the level of employee morale

On managers

Strains the superior-subordinate relations

Increases the degree of supervision, control and follow up

Increases in disciplinary action cases

Increases in unrest and, thereby, machinery to maintain industrial peace


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1.4 Establishment of Procedures4

Grievance procedures are frameworks which provide clear and transparent structures

for dealing with difficulties which may arise as part of the working relationships from either

the employer’s or employee’s perspective. Such procedures are necessary to ensure

that everybody is treated in the same way in similar circumstances, to ensure issues are

dealt with fairly and reasonably, and that employers are compliant with current

legislation and follow the Code of Good Practices for handling various aspects of

grievance issues such as:

Sexual harassment grievances

Grievances related to discrimination and equity

Grievances related to substantive employment conditions

Grievances related to collective agreements and other agreements within the

workplace

Grievance procedures are needed to:

Provide employees with a course of action if they have a complaint (which they

are unable to resolve through regular communication with their line manager).

Provide points of contact and timeframes to resolve issues of concern.

Try to resolve matters without recourse to external dispute resolution.

Grievance procedures (and disciplinary procedures) may be negotiated with the

recognised trade union within the organisation, drafted by management in consultation

with the union or other employee representatives, or instituted solely by management.

However during the drafting process it is vital that all relevant stakeholders within the

workplace are consulted and encouraged to contribute to the drafting process and to

provide constructive input. Management should create opportunities where

stakeholders can engage with the process and provide valuable input.

Where there is active employee representation within the workplace, a committee can

be formed to support the drafting of the procedures and for implementation purposes.

This committee can run concurrent with the workplace forum or other forums where

employee participation is sought after. In accordance with statutory requirements,

4 Bendix., S., Industrial Relations in South Africa (Fifth Edition), Juta and Co. Ltd: Cape Town, 2010

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where a workplace forum exists, management is obliged to engage in co-decision-

making regarding grievance and disciplinary procedures and that matters such as

retrenchments be negotiated with unions or employee representatives.

Unions contend that employee grievance resort with their sphere of interest and that

they have a right to provide input, even if the procedures are not directly negotiated

with them. Whether or not there is a union, employee’s committee representation or a

workplace forum, these procedures need to be established to protect the rights of all

employees, both individually and as a collective. Those members of line management

who will be most closely involved with the implementation of the procedures should also

be consulted when the procedures are drafted.

The nature and format of these procedures will depend on the circumstances of a

particular organisation in relation to its size, work process, organisational structure,

management style and nature of employee representation. Procedures developed

should be customised in accordance with the needs of the organisation and in

accordance with the specific circumstances of the organisation. However it should be

noted that certain general rules and guidelines applies, irrespective of the organisation,

and should be done in accordance with legal requirements and codes of good

practices.

1.5 The Grievance Procedures5

It is not always possible to contextualise the type of grievance which would occur under

a formal grievance procedure. In practice a formal grievance is initiated, when, within

the day-to-day work situation of the employee, an incident has occurred or the

employee’s position is such that he/she is left with a general feeling of dissatisfaction or

a sense of injustice. The grievance might occur out of a situation where the employee or


Benefits of grievance procedures:

It encourages employees to raise concerns without fear of reprisal

It provides a fair and speedy means of dealing with a complaint

It prevents minor disagreements developing into serious disputes

It saves employer’s time and money as solutions are found for workplace problems

It helps to build an organisational climate, based on transparency and trust

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a group of employee’s has been treated harshly and unfairly by a superior, unjustifiably

disciplined or insulted, or may not have been allowed time off which otherwise would

have been common practice.

This is the type of issue which will be channelled through the grievance procedure, the

rationale being that it is viewed as an infringement of an employee’s right and requires

the formal consideration of management. A grievance of this nature is the type of issue

which, if unresolved, could lead to a situation or dispute between the company and the

employee or group of employees. It is this latter aspect which differentiates a formal

grievance from those of a more trivial nature; that is, those not warranting the declared

conditions of service, which could also result in disputes, but these are dealt with by the

collective bargaining mechanisms and become demands rather than demands

formulated by a collective body, which is based on the perception that a right has been

infringed, and which, because it may result in a dispute, warrants the formal attention of

management.

Objectives of a Grievance Procedure6

A grievance procedure fulfils the following functions:

It creates the opportunity for upward communication from employees

It ensure that complaints are effectively dealt with by management

It creates awareness of employee problems or of problem areas which could be

subjected to further investigation

It prevents disputes from arising

It renders the disciplinary procedure more acceptable, since employees also

have a means of objecting to management performance

It emphasises management’s concern for the wellbeing employees

These objectives will be achieved if the grievance procedure functions efficiently and is

accurately implemented and utilised.


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1.6 Principles of fairness

Legislature does not set prescribed steps to adhere to, at all times, in establishing

grievance procedures within an organisation, however the only prescribed requirement

is that it should apply the principles of fairness.

The principles are:

Procedural and substantive fairness (Rules of natural justice)

Confidentiality

Timeliness

Record-keeping

Transparency

Natural Justice

During the last few decades the legal system has changed the premise of traditional

formulation of the principles of natural justice and have adopted instead a “fairness

terminology”. The notion of natural justice has moved away from an approach that

focuses only on the twin principles of natural justice: audi alteram partem7 and nemo

iudex in causa sua8 towards an approach that is focussed not only on the epithet

7 Audi alteram partem is a Latin phrase that means “it should be heard also the other party”, “hear the other side

too” or ‘hear the alternative party too’. It is used in natural justice as a principle that no person should be judged

without a fair hearing in which each party is given the opportunity to respond to the evidence against them. Within

grievance procedures employees and those they have a grievance should have the opportunity to tell their side of

the grievance and to be heard. 8 Nemo iudex in causa sua is a Latin phrase that means “no-one should be a judge in their own cause”. This principle

is based on the notion that one person cannot judge a case in which they have an interest in. The rule is very strictly

applied to any appearance of a possible bias, even if there is actually none: “Justice must not only be done, but must

be seen to be done”. Within the grievance procedure an employee should have the right to lay a grievance and be

the procedure should be handled by someone that is not part of the grievance or harbour biasness towards any

party of the grievance.

Both audi alteram partem, nemo iudex in causa sua is principles of fundamental justice or equity and are used in all

labour law matters within South Africa e.g. disciplinary actions, grievance procedures or dispute resolutions. These

principles includes the rights of a party to confront any allegation made against him/her, confront witnesses

testimonies, to have a fair opportunity to challenge evidence/allegations presented by the other party, to provide

Fairness is needed not only to be just but also to keep the procedure viable, for if employees

develop the belief that the procedure is only a procedure to avoid real action, then its value will

be lost, and the other means sought to deal with the grievances. This also involves following

the principles of natural justice, as applicable to a disciplinary procedure.

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“judicial” or “quasi-judicial” context but on fairness concepts, wherein the judicial review

of procedural impropriety does not degenerate into a mass of ad hoc decisions of little

or no prescriptive or predictive value but more on a case specific perspective, where

each case should be judged in accordance with their own merits.

In context to natural justice all grievance procedures should be done in accordance

with substantive and procedural fairness. Substantive fairness refers to fairness of the

reason whereby procedural fairness means that the process followed should be fair for

all parties.

Principles of procedural fairness include:

A fair and impartial process

The grievant should be informed of the process and the implications of making a

formal/written complaint before proceeding – the procedures and the process

should be explained in such a way that the grievant will understand how the

process is going to unfold and what the possible outcomes of such a process

could be.

The person against whom a complaint is made (the respondent) has the right to

know details of the complaint against them

The respondent has the right to put their side

Before they respond, the respondent has a right to know the implications for them

in terms of disciplinary action if the complaint is proven

own witnesses to support their side and to present evidence, to have representation and that the case/grievance is

heard by a third party, that does not have an interest in the outcome or harbour any biasness.

In English Law, natural justice is technical terminology for the rule against bias (nemo iudex in

causa sua) and the right to a fair hearing (audi alteram partem). While the term natural justice is

often retained as a general concept, it has largely been replaced and extended by the more

general “duty to act fairly”

A fundamental aspect of natural justice is that before a decision is made; all parties should be

heard on the matter

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The grievance handler should be fair, impartial and unbiased in their investigation.

If there is a conflict of interest the matter should be referred to another grievance

handler or internal unit.

Principles of substantive fairness include:

The grievance handler should not assume guilt. They should determine that the

complaint is substantiated only after hearing from both/all sides, checking other

relevant evidence, and taking into account any mitigating circumstances

1.7 Principles of confidentiality include

A grievant should be able to raise a complaint and get advice in confidence

A complaint should not be referred elsewhere, formally investigated, or

discussed with others without the grievant's consent

Grievances cannot be of an anonymous nature (Grievance procedures and

whistle blowing procedures are not the same.)

Generally, procedural fairness requires that the respondent knows who has

lodged the grievance

Confidentiality of records should be ensured at all times

1.8 Principles of timeliness include:

Delays at any stage of the grievance procedure can result in a denial of

procedural fairness

Delays determining the grievance can be critical in any appeal

Delay in addressing issues in a complaint can lead to the exacerbation of the

situation, a continuation of the problem, a worsening of the relationship

between the parties involved, and increased distress for all parties

Delays can also result in more time being expended in dealing with a grievance

once action is taken because the situation has escalated

Grievances should be handled within reasonable and practical time frames

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1.9 Principles of record keeping include:

Records should be kept to ensure that the details of the allegations, responses

and actions are recorded for reference.

Records can be used for statistical purposes to identify systemic problems

Records can substantiate procedural fairness in the event of an appeal against

process or outcome of grievance investigation

If the allegations are complex or serious, record the complaint, the response, the

evidence of witnesses and ask the parties to sign

1.10 Principles of transparency

Principles of transparency are related to procedural fairness, include:

Effective implementation of grievance policies and procedures

Effective communication to all parties about relevant policies and procedures

Effective communication to all parties of the outcome, of reasons for the

outcome and, where appropriate, the evidence which was relied upon

Principle of openness, honesty and fair dealing

Fair and accurate reporting if the case is referred to internal departments or

more senior managers

Fair and accurate reporting particularly where disciplinary action is likely to result

Principles underlying grievance handling9

The fundamental principles concerning the fairness of the grievance procedures

have already been addressed; however there are certain principles that underlie

grievance handling, namely:

Management must acknowledge the fact that workers may from time to time

be dissatisfied with aspects related to the employment relationship

Management must accept the responsibility for addressing and settling all

legitimate employee grievances in a fair manner

9 Swanepoel, B.J., Erasmus, B.J. and Schenk, H., South African Human Resource Management – Theory & Practice

(Fourth Edition), Juta & Co Ltd: Cape Town, 2008

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It is best to solve grievances as promptly and as close as practically possible to

the point of origin

All employees who air grievances must enjoy guaranteed protection against

any form of discrimination, victimisation or prejudice whatsoever

Management must accept the fundamental right of workers to make use of

the help representatives (either union or otherwise) in the process of airing and

handling grievances

Management is responsible for the smooth operation of the organisation of the

organisation; although grievance handling is extremely important, the

utilisation of the grievance procedure should not unnecessarily disrupt (but

rather facilitate) the operation of the organisation

A number of time-specified and progressive procedural steps should be spelt

out and followed, from the lowest to the highest level of management, in order

to arrive at the point where a grievance is solved to the optimum satisfaction

of all parties concerned

The right of employees to pursue channels of dispute resolution beyond the

organisation in cases where grievances cannot be solved through the

grievance procedure must be recognised

Grievance Procedures in Practice10

General rules that apply for grievance procedures in practices:

The employee should be granted the opportunity to bring his/her grievance,

albeit in stages, to the attention of senior management

The employee should be permitted representation, if so desired

Management, at the various levels, should give careful consideration to the

grievance and make genuine attempts to resolve it

Time limits should be established for each stage of the procedure

The grievance will not be resolved until the employee declares himself/herself

satisfied

The employee has the right, if the grievance remains unresolved, to declare a

dispute


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Grievances should, wherever possible, be handled by line management, but

other staff (in the form of the HR Department) may act in an advisory capacity

In terms of above mentioned guidelines, a grievance procedure might, depending on

organisational structure and management style, entail out of the following generic steps:

Step 1 The employee verbally raises a complaint with his/her immediate

supervisor. The supervisor undertakes to investigate the complaint and to

furnish the employee with his/her opinions and suggestions. If the

employee has difficulty in verbalising the grievance he/she may, at the

stage, speak through a representative but this is usually not necessary.

Step 2 Should the employee find the supervisor’s suggestions, he/she lodges –

with or without the assistance of a representative – a formal written

grievance for the attention of the supervisor or the next level of

management (for example, the section head. The supervisor or the

section head, as the case may be in terms of the organisation

hierarchically structure, investigates the matter, or reinvestigates it in the

case of a supervisor, discusses the matter with the employee and records

his/her findings and recommendations

Step 3 If, at this stage, the employee remains disgruntled, the written grievance,

together with the report of the supervisor or section head, is forwarded to

the next level of management, in the person of the departmental or

factory manager. The manager concerned studies the written

documents, interviews the employee and any other persons involved and

gathers all relevant information. On the basis of this, he presents his/her

recommendations or proposed solution to the employee and his/her

representative. The manager is obliged to report in writing on his/her

investigation, recommendations and the outcome.

Step 4 A grievance which remains unresolved is then channelled to the next level

of management (for example, to the production manager), and the

same procedure is repeated. However, because the danger of a dispute

become more imminent at this stage, provision may be made for a

representative body – a workers’ committee or union – to become

involved in discussions relating to the employee grievance. The HR

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manager or a senior member of the HR department may be invited to sit

in on discussions. (The HR department may already have become

involved at an earlier stage.)

Step 5 In the final stage, the grievance is brought to the attention of senior

management. Discussions held will involve various management

representatives, the employee and his/her representatives, or delegates

from a representative body. The meetings may now begin to take the

form of negotiations. A lack of solution at this, the final, stage will result

either in the employee’s backing down or in his declaration of a dispute,

in which case the issue will be processed either through the plant-level

dispute procedure or through the statutory dispute settlement

mechanism. Either procedure may provide for mediation or arbitration or

judicial adjudication.

Source: Bendix., S., Industrial Relations in South Africa (Fifth Edition), Juta and Co. Ltd: Cape Town, 2010

The grievance may be resolved at any stage during the procedure. If this occurs, the

method of settlement should be noted in writing and the employee should, also in writing,

signify satisfaction with the solution. In a smaller organisation/undertaking, or one which

does not have a steep hierarchical structure, the number of steps in the procedure

decreases significantly. The procedure need not necessarily extend to the highest level

of management. It could be terminated at Step 3 or 4 if management at this level is

regarded as the final authority on issues relating to employee problems. The dispute

procedure would then be implemented after this step.

Grievance Procedure

1. General

1.1 An employee may lodge a grievance without any prejudice or fear of victimisation.

1.2 Grievances should be raised with Management as soon as possible, in order that

they may be speedily resolved.

1.3 The duty to resolve grievances will be vested in line Management

1.4 The Grievance Procedure will not be used by employees for the purpose of:

a) Amending any provisions of any agreement between parties;

b) Amending any substantive conditions of employment for any category of

employee, e.g. Wages, leave, bonuses, etc.

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2. Stages of Procedure

Stage 1

a) The employer will first raise his/her grievance verbally with his/her direct superior,

in order that it may be quickly resolved.

b) IF the grievance is not settled within 2 days of first being raised, a written

grievance form has to be completed and handed in to the HR Department who

will forward it to the employee’s supervisor

c) The supervisor will have 2 days to attempt to resolve the grievance.

d) Should the grievance not be resolved within the stipulated time, a copy will be

forwarded to the Departmental Manager

Stage 2

a) Within 2 days after the date on which the Departmental Manager received the

copy, he/she will arrange a meeting with the parties concerned.

b) At the meeting, the aggrieved worker, his/her Shop Steward, if requested, the

foreman and a member of the HR Department will be present.

c) Two days will be given to resolve the matter. If it is note resolved, the grievance

will be referred to Stage 3.

Stage 3

a) The HR Department will present a copy of the grievance form to the Divisional

Manager.

b) Within a week or receiving a copy of the grievance, the Divisional Manager or

his/her nominee will call a meeting of all parties concerned. A union

representative may be present, if so requested by the employee.

c) The Divisional Manager will propose a final settlement of the grievance within 3

full working days as from the date of the meeting contemplated under (b).

d) In the event of the worker and/or his representative being unable or unwilling to

accept the settlement as proposed by the Divisional Manager, the matter may

be pursued in terms of the agreed Dispute Procedure.

Grievance Form

Name of Employee: ………………………………………………………………………………..

Date: ………………………………

Department: …………………………………………………….. Clock No: ……………………

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Supervisor: ………………………………………………….…………………………………………..

Shift: ……………………………………………………………….........

Date on which grievance occurred: …………………………….

Shop Steward: ………………………………………..……………….

Employee’s grievance (Short description. Only facts to be noted): ………………………..

……………………………………………………………………………………………………………

……………………………………………………………………………………………………………

…………………………………………………………………………………………………………

…………………………………………………………………………………………………………

Settlement desired

……………………………………………………………………………………………………………

………………………………………………………………………………………………………….

……………………………………………………………………………………………………………

………………………………………………………………………………………………

Date received and forwarded by HR Department: …………………………………………

Signed: ………………………………………………….

Stage 1

Supervisor’s Comment:

……………………………………………………………………………………………………………

……………………………………………………………………………………………………………

……………………………………………………………………………………………………………

……………………………………………………………………………………………………………

……………………………………………………………………………………………………………

………………………………………………………………………………………………………

Resolved: □ Not Resolved: □

Employee Signature: ……………………………………………………..

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Date: ……………………………………………

Supervisor Signature: …………………………………………………….

Date: ……………………………………………

Supervisor: …………………………………………………………………

Shift: …………………………………………….

Date received and forwarded by HR Department: …………………………………………

Signed: …………………………………………………………………………………………………

Stage 2

Departmental Manager’s Comment:

……………………………………………………………………………………………………………

……………………………………………………………………………………………………………

……………………………………………………………………………………………………………

……………………………………………………………………………………………………………

……………………………………………………………………………………………………………

……………………………………………………………………………………………………


Employee Signature: ………………………………………………………………………………….

Date: ……………………………………………………………..

Departmental Manager Signature: ………………………………………………….……………

Date: ……………………………………………………………

Date received and forwarded by HR Department:

……………………………………………

Signed: ……………………………………………………………

…………………………………………………………….

…………………………………………………………….

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Stage 3

Divisional Manager’s Comment: ………………………………………………………………..

……………………………………………………………………………………………………………

…………………………………………………………………………………………………………..

……………………………………………………………………………………………………………

………………………………………………………………………………………………………….


Employee Signature:

………………………………………………………………………………….

Date: ……………………………………………………………..

Divisional Manager Signature: ………………………………………..………………………….

Date: ……………………………………………………………..

Date received and forwarded by HR Department: ………………………………………

Signed: ……………………………………………………………

Settlement agreed upon

Employee Signature: ………………………………………………………………………………

Date: ……………………………………………

Employee Representative/Shop Steward/ Union Signature: ………………………………

Date: ………………….………………………….

For Company Signature: ……………………………………………………………………………

Date: ……………………………………………..

Returned to HR Department:

…………………………………………………………………………

Signed:

…………………………………………………………………………………………………….

Source: Bendix., S., Industrial Relations in South Africa (Fifth Edition), Juta and Co. Ltd: Cape Town, 2010

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Grievance Procedure within a large, hierarchically structured organisation11


Mediation, Arbitration, Judicial Settlement, Strike

Plant-Level Disputes Procedure Statutory Disputes Procedure

Disputes Procedure Commences

Grievances Procedure Ends

Top management (division manager)

Investigates and discusses

Unresolved

Grievance form and reports to

production manager

Unresolved

Grievance and reports submitted to

factory manager

Unresolved

Formal written grievance

(Supervisor or section head)

Unresolved

Verbal complaint to immediate

supervisor

Unresolved

Employee dissatisfied

Employee

representative

Union or Workers’ Committee

HR Department

STEP 1

STEP 2

STEP 3

STEP 4

STEP 5

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Reasonable and practical time frames12

Within grievance procedures it is essential that reasonable and practical time frames will

be written into the grievance procedures to ensure that all fundamental principles for

procedural and substantial fairness are adhered to. This is necessary to ensure that a

grievance is handled effectively and sufficiently when a feeling of disgruntle-ness arises

at floor level. It also prevents a grievance from remaining unattended for long periods of

time, or being deferred altogether. Where a grievance is more complex and cannot be

resolved within the time stipulated, the employee concerned should be informed of

progress on a regular basis.

1.11 Ensuring effective grievance procedures13

For grievance procedures to be effective it should be sufficiently comprehensive, easily

accessible and applicable to all categories of employee, whereby structures and

procedures are formalised. All employees, irrespective of their employment category,

should be aware of the procedures and should be motivated to use it. To establish this,

it is advisable that short awareness training sessions is held on the grievance and

disciplinary procedures, and even during the drafting phases, to hold regular

consultative meetings with employees to ensure their participation and taking of

ownership, over the formalised procedures.

Relevant staff within the organisation should assist fellow employee’s to grasp the

procedure, to understand the various elements, stages of the procedures and the

process itself during the initial awareness programme. It is vital that employee’s

understand that during a grievance it is essential that they formulate the grievance as

concisely as possible, to express the grievance freely and clearly and to consider

beforehand what would be regarded as an acceptable solution but that the desired

solution should be reasonable and practical e.g. a desired solution of transferring a

supervisor is not always practical.

In general the organisation should strive to create an environment where employees will

feel free to express their grievances and to be assured that filing a grievance will not lead

to victimisation or intimidation. In practice when a grievance is laid, there will be

elements of victimisation involved to a certain extent, however it is the responsibility of

12 Bendix., S., Industrial Relations in South Africa (Fifth Edition), Juta and Co. Ltd: Cape Town, 2010 13 Bendix., S., Industrial Relations in South Africa (Fifth Edition), Juta and Co. Ltd: Cape Town, 2010

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the organisation to minimise this and to ensure that the employee will be provided with

a fair and just grievance procedure to obtain the desired solution. It should be conveyed

to employees that all efforts will be taken to ensure that they are not further victimised or

intimidated during the procedure and to feel encouraged to make use of grievance

procedures, but to avoid abusing procedures for insignificant grievances.

Procedures should be easily accessible for all employees and provision should be made

to involve all relevant role-players e.g. union representatives.

Employee representatives are bound to become involved in the operation of the

grievance procedure. They should also be guided through the procedures and be

involved with the various elements and stages. Generally it is accepted that during all

the stages of grievance procedures, employees is entitled to be represented by a shop

steward or fellow employee, but in later stages the union may be officially involved, this

is done due to the possibility that employees who feel disgruntled about the outcome of

a grievance solution, may declare a dispute.

Once a dispute has been declared it will be processed in accordance with the set

dispute resolution of the organisation or through statutory procedures. However during

the first stages of a grievance procedure it is essential that the organisation

accommodate the involvement of the union. An effective grievance procedure is only

effective when all parties to the grievance have a commitment to resolve grievances on

the lowest possible level, before it escalates to a dispute.

1.12 Formalised grievance procedures14 – SO1, AC6

Formal grievance procedures are normally in written format to ensure that the grievance

is receiving the necessary attention and that it is recorded accordingly. Hence the

grievance procedures will be made available to employees through a document which

spell out the stages or steps to be followed and also verify the exact nature and

sequence of steps in accordance with the set hierarchically structured of the

organisation, depending on the complexity, size and structure of the

organisation/undertaking.


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Normally a formalised grievance procedure is recorded within a policy document with

the relevant procedures to follow and templates for recording the grievance. Grievance

templates are developed in such a way that make the recording of the grievance easier

and make record keeping easier.

Prerequisites of a formalised grievance procedure

As mentioned it is vital that every organisation have a systematic formalised grievance

procedure in order to redress grievances effectively. Unattended grievances may

culminate in the form of violent conflicts as the grievances accumulate and the

employment conditions deteriorate as with the case of the Lonmin Marikana strike where

grievances over wages and working conditions accumulated to a stage where violence

broke out between striking workers and the police, leading to the death of 47 employees

of the mine.

For sound and effective grievances, there should be certain prerequisites:

Conformity with statutory provisions – Due consideration must be given to the

prevailing labour legislation while designing the grievance policy and procedure

documents with supporting templates.

Unambiguity – Every aspect of the grievance procedure should be clear and

unambiguous. All employees should know who to approach first when they have

a grievance, whether the complaint be written or oral, the minimum time in which

the re-dressal is assured, etc. The redressing official should also know the limits

within which he/she can take the required action.

Simplicity – The grievance procedure should be simple and easy to follow. If the

procedure is over complicated it may discourage employees and they may fail

to make use of it in a proper manner.

Promptness – The grievance of employees should be promptly handled and

necessary action must be taken immediately. This is beneficial to both the

employer and the employee, since it will assure follow employees of the

organisations intent to create a caring working environment and where

management acts within the best interest of all parties involved.

Training – All parties involved with the grievance procedures should be aware of

all aspects of the grievance procedure and it is advisable that employees,

management and even union representatives be properly trained in all aspects

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and that continuous awareness programmes be conducted to ensure the

effectiveness of the grievance procedures.

Follow up - The Human Resource Department should take ownership of the

grievance procedures and should keep track of the effectiveness and the

functioning of the grievance procedure and make necessary adjustments to

improve it from time to time and to benchmark best practices.

1.13 Sample of Grievance Policies and Procedures:

Sample 1 - Grievance Procedure15 for Company ABC

1. Interests of employees and the employer

It is in the interests of both employees and the employer to observe a grievance

procedure for the purposes of considering and resolving any dissatisfaction or feelings of

injustice in connection with an employee's work or employment situation. Employees and

their representatives will not suffer any prejudice as a consequence of lodging a

grievance in terms of this procedure.

2. Exclusions from grievance procedure

2.1 Employees shall not use the grievance procedure:

(a) to process a disciplinary matter or appeal in relation thereto;

(b) for purposes of collective bargaining;

(c) to negotiate or amend any agreement entered into between the employer

and any other party, or to amend the employer's disciplinary procedures.

3. Evolving industrial relations

Practices and attitudes in industry change with time, and new norms or acceptable

industrial relations behaviour emerge. Accordingly these procedures are intended to be

guidelines and not rigid standards of behaviour. These procedures may be amended,

altered or varied by the employer on reasonable notice to the employees.

4. Time limits

The aim of the grievance procedure is to enable an employee to have a grievance

resolved as quickly and as near to the point of origin as possible.

15 Source unknown

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Therefore, notwithstanding the stages and time limits provided herein, the parties shall

deal with matters as quickly as possible. Similarly, where the reasonable investigation of

a grievance necessitates longer time period than those provided for and the reasons

therefore are disclosed to the other party, such party's consent to extend periods shall

not be unreasonably withheld. Only working days shall be taken into account in

computing time periods.

5. Assistance of grievance procedures

An employee who has a grievance may at any stage seek the assistance of a fellow

employee to assist such employee in invoking the grievance procedure.

A fellow employee may be called in to assist in the resolution of a grievance by either

party at the appropriate stage of the grievance procedure, provided that the choice as

to whether the particular employee is represented or assisted at any stage of a dispute

shall not be unreasonably withheld.

6. Resolution of a grievance

The decision as to whether a grievance has been resolved at any stage of the procedure

rests with the aggrieved employee, as does the decision to invoke a subsequent stage

of the grievance procedure. If the grievance is resolved, the employee will acknowledge

it in writing.

7. Additional evidence and information

At any stage of the grievance procedure, any party may ask that additional evidence

be given or cross-examined and that additional information be provided, at the

discretion of the employer.

Stage 1

All grievances shall be raised in writing, with the person in immediate authority over the

employee. When an employee alleges that a grievance has arisen out of the act of such

employee's immediate superior, such grievance can be raised orally with the higher

authority.

Stage 2

If the grievance is not resolved during the first day, the employee and the relevant person

in authority will sign it.

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Stage 3 - Unresolved grievance

If the grievance is not resolved within 3 (three) working days, it shall be referred to the

managing director.

8. Further remedies

In the event that no mutually acceptable resolution of the grievance is reached within

one week of it being raised then either party shall be entitled to take appropriate action

against the other.

Notwithstanding the fact that procedures prescribed herein may not have been

exhausted, either party may take steps to secure relief or promote its interests through

the court or other legal dispute resolving procedure if a delay in the initiating of such

proceedings could prejudice such party's rights.

Employees cannot expect to have grievances resolved if the employee does not bring

the matter to the attention of management. Employees are required to bring grievances

to management’s attention, and not to leave such matters unresolved. Employees are

reminded that to remain silent and then tender a resignation is not the correct method

of resolving a grievance.

9. Recordings and minutes

Minutes or any kind of electronic recording shall be kept of all grievance procedures and

proceedings.

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GRIEVANCE FORM

Employees Name _______________________________________________

Job Title _______________________________________________

Post Level ________________________________________________

Employees Company Nr ________________________________________________

Section/ Division ________________________________________________

Nature of Grievance

__________________________________________________________________________________

__________________________________________________________________________________

____________________________________________

Solution Desired

__________________________________________________________________________________

__________________________________________________________________________

Signature ____________________ Date _________________

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DECISION /RESPONSE FROM MANAGER

Grievance dealt with by ________________________________________

Capacity ________________________ ________________

Date of Inquiry ________________________________________

Decision/ Response

__________________________________________________________________________________

__________________________________________________________________________________

____________________________________________

Signature ________________________________________

Date ________________________________________

Employee’s Response and/or reason for pursuing to the next stage

__________________________________________________________________________________

__________________________________________________________________________________

__________________________________________________________________________________

______________

Grievance Resolved/ Not resolved

___________________________________________

Are you satisfied with the manager’s response?

____________________________________________

Do you want to proceed with the grievance?

____________________________________________

Signature Employee ______________________________ Date

_______________________

Signature Representative ______________________________ Date

_______________________

Source: Unknown

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2. Implementation of the Grievances framework Most organisations have a grievance policy and procedure in place that addresses

various human resource issues. Often the policies and procedures vary, as do the means

and method of employee communications within the organisation. It is however

necessary to implement the structures and procedures within the grievance framework

to ensure that grievances of employees are resolved effectively and sufficiently.

2.1 Communication with relevant stakeholders to ensure participation and

commitment

Not only should the policy and procedures be clear and comprehensive towards

mitigating the impact of conflict in the workplace and to effectively handle such conflict

through grievance procedures, it should also be communicated to all relevant

stakeholders effectively and within the appropriate means of communication as per the

organisational communication policies.

The manner in which the policy and procedure is communicated to relevant

stakeholders will be viewed by the stakeholders as an indication of the value placed on

them as role-players to the grievance framework. Therefore it is imperative that during

the consultation process the organisation focus on providing a platform to obtain

participation of all relevant stakeholders within the grievance procedures and to ensure

that they are committed to the process.

Amongst the stakeholders, will be the union representatives and it is vital that the role of

the union is not underplayed during the consultation process. Normally when the union

buys into a grievance procedure within an organisation, employees have trust in the

procedure and will therefore make use of the process. Where employees and the role of

the union is underplayed, they may not feel any sense of value or security in the

grievance procedure, especially where the procedure was not clearly communicated

with them. The employees in such an instance will feel their employment is precarious in

nature, a fear that may negatively impact their ability to focus and be productive.

It is therefore important to ensure that:

All stakeholders are involved with the implementation of the grievance policy and

procedure

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All employees, new and old, are aware of the policy and procedures and it is

communicated in such a way that they fully understand each and every step of

the policy and procedure

All stakeholders have ready access to policy and procedure implementation

The organisation adheres to the policy – including time frames and responsiveness

and that the organisations commitment to a fair and just procedure is

communicated to all stakeholders through the appropriate means of

communication and within the correct hierarchy of the organisation structure

2.2 Capacity building with relevant stakeholders

For an effective grievance framework the policy and procedures should be accepted

as reasonable by those covered by them and those who control them. It is therefore

good practice to develop and implement the framework in consultation with employees

(or union representatives if appropriate) and those who will have the responsibility for

applying them in the day-to-day operations of the organisation. Not only should they be

involved within the process but committed to the success of the grievance framework.

Formulation of the policy and procedures helps both managers and employees to know

what is expected of them. Steps should be clearly explained to the various stakeholders

as well as their role within the process, and ideally they should be given their own copy.

It is also advisable to display the procedures in a prominent place within a small

organisation. In large organisations, it is good practice to include a section on the

grievance procedures within the organisational handbook or on the intranet system, and

to discuss the framework during the induction programmes or other training programmes.

During implementation it is imperative that those responsible for using and applying the

grievance framework should be trained for the task and all other stakeholders inducted

on the implementation and the use of the policy and procedures should a grievance

occur.

Good training through a training programme/induction programme or merely an

awareness programme, will achieve positive outcomes in application of the procedures,

reducing the need for those involved to continuously explain the various steps within the

grievance procedure. All relevant stakeholders should be familiar with the provisions of

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the grievance procedure, and know how to conduct a grievance hearing or represent

themselves or a colleague at a grievance hearing.

Where the organisation recognised the representative trade union, or any other form of

employee representation, it is useful to undertake training on a joint basis – everyone

then has the same understanding and has an opportunity to work through the

procedure, clarifying any issues that might arise and also to build a mutual courteous

relationship.

During these training sessions appropriate assistance and advice should be conveyed to

all stakeholders on the use of the grievance framework to prevent small disputes from

escalating and with this, enhance mutual trust and faith in the internal grievance

framework, in order to ensure:

Adherence to the agreed grievance procedures

Adherence to specified timeframes

Correctly formulated grievances

Resolution at the lowest possible managerial level approach

Capacity building and training for all relevant stakeholders within all levels within the

organisation is essential to ensure that employees are updated with new developments

within the grievance framework and should be done on a regular basis to ensure that

best practices are created within the organisation regarding grievance handling.

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3. Monitor, adjust grievance application and evaluate, analyse

and address grievance patterns

Introduction

A grievance procedure is used when an employee

believes that his/her rights have been infringed by the

employer or a fellow colleague within the workplace.

Normally within a grievance procedure, set steps are

provided for the employee to follow, to ensure that the

complaint is heard and responded to by the

organisational management within set time frames.

Grievances come in many different forms, including: a complaint that a manager has

not treated the employee fairly in some day to day matter; issues that arise from a

change in role, a workplace reorganisation, even redundancy; regarding claims and

issues of equal treatment as a part-time worker, as a woman, as a disabled worker, for

example; or a complaint of bullying, harassment or discrimination. Some special types of

grievance may have distinct grievance procedures to deal with that sort of problem – a

harassment procedure, a dignity at work procedure, etc. Whatever the grievance, it

must be lodged with the employer in writing, as soon as possible, and within any time

limits set out in the local grievance procedure. The grievance is usually best written by

the employer however a shop steward or union representative are entitled to assist the

employee in the preparation of the grievance if they request assistance.

Employers must provide both an initial face-to-face meeting to resolve a grievance and

the right of appeal. All meetings must be held at times and places that are reasonable

for the employee and reasonable provision must be made for anyone who is disabled.

The meetings must allow both sides to explain their case. Employees are entitled to be

accompanied by a union representative at all stages or indicated by the specific

organisational grievance procedures. At the conclusion of the initial hearing and any

appeal (where applicable) the employer is obligated to inform the employee in writing

of any action it proposes to take as a result of the grievance which has been raised.

The human resource department will keep records of grievances to ensure that

grievances are handled sufficiently and that all parties are notified of the outcomes.

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Normally the information will be kept within the borders of confidentially and in line with

set human resource management policies, which will include:

The nature of the grievance

A copy of the grievance lodged

The manager’s response

A note of the resolution agreed/action taken

A note of reasons for the particular resolution/action

Whether there was an appeal and the outcome of that appeal

Any subsequent developments

Copies of meeting records should be given to the relevant employee including copies

of any formal minutes that may have been taken. In certain circumstance (for example

to protect a witness or whistle blower) certain information might be withheld.

The human resource department normally receive all the grievances and channel it to

the correct, relevant person for handling. The result is that all grievances that are

received by the organisation are recorded, and documentation is filed accordingly to

ensure that the grievance can be monitored. This is also a method to track the practices

in the organisation and to do adjustment to practices where applicable to ensure

complaint practices in terms of legislature, collective agreements and organisational

standards. A study of all grievances over a specific period may reveal a pattern which

in turn is indicative of a problem which needs to be addressed. Through monitoring and

recording of these grievances, grievance patterns can be identified when they occur.

Repeated grievances within a specific department or section may indicate that

employees are disgruntled based upon some aspect of their work situation. Through

proper analysis the root of the disgruntle-ness can be tracked and management can

instigate remedial actions to correct the current practices.16

It may also reveal that the current management style of a specific manager should be

addressed through training or other measures necessary. Certain types of grievances

that are occurring across the organisation might mean that the issue is a general

problem, which may escalate into major conflict if nothing is done. Hence the

16 Bendix., S., Labour Relations in Practice – An outcomes-based approach, Juta and Co. Ltd: Cape Town, 2010

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importance of keeping track of all grievances, monitoring such and developing

mechanisms whereby grievance are consolidated in grievance reports to identify

grievance patterns and to implement corrective and preventive actions to remedy

these actions after investigating the root of grievance patterns.17

3.1 Monitor application of grievance procedure and adjust when necessary

3.1.1 Process for monitoring compliance and effectiveness

All formal grievances must be channelled through the human resource department, who

will maintain a record of grievances and actions taken. Regular reports of grievances

and outcomes will be made to the appropriate grievance structure and formally shared

with agreed committees and communication/grievance structure in accordance with

the set provisions of the grievance procedures. The grievances shared will be more in the

form of a general grievance report, without identifying confidential information of actual

complaints and parties involved.

Monitoring will include identifying trends in terms of types of issues being raised, roles and

levels, location/department and diversity-related patterns.

Monitoring mechanisms will be implemented to ensure that the grievance policy and

procedures are regularly monitored to ensure that the purpose of the policy and

procedures are being achieved, those using the procedure abide by the fundamental

principles and procedures and that the standards expected of managers and

employees are being achieved.

Where problems in the application of the procedures are identified, it will be corrected

and notification of such changes will be forwarded to all relevant stakeholders. Within

the relevant amendment process, relevant stakeholders will be consulted during the

adjustment of identified problems within the application of the grievance procedures.

The corrective interventions to resolve the problems in the application of the grievance

procedures will be identified and implemented. Adjustments will be done in accordance

to set procedures as indicated originally within the grievance policy.

17 Bendix., S., Labour Relations in Practice – An outcomes-based approach, Juta and Co. Ltd: Cape Town, 2010

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3.2 Grievance procedures compliant to legal requirements and codes of good

practices

Grievance procedures should be compliant with legal requirements of natural justice in

terms of Promotion of Administrative Justice, Act 3 of 2000 and other labour law

requirements.

Grievance procedures should also be compliant with specific Code of Good Practices

and should be handled in accordance with the Code of Good Practice on the

Handling of Sexual Harassment Cases and Code of Good Practice on Aspects of

HIV/Aids and Employment.

4. Evaluate, analyse and address grievance patterns

4.1 Grievance patterns

All grievances should be recorded within an appropriate and user-friendly recording

system by the human resource department and should be maintained in order for the

department to compile grievance patterns on specific grievances over a specific time

period.

It is important that grievance patterns are correctly identified and analysed at regular

intervals and that the necessary corrective and preventive actions are identified and

implemented in order to develop best practices within the organisation and to

effectively deal with conflict by removing causes of employees dissatisfaction.

Procedure for evaluation of grievances data, collection, analysis, reporting and promote

corrective and preventive actions:

Data collection of documented grievances

Evaluate complaints and grievances through trends analysis of reported issues

and concerns

Identify needs and opportunities to promote and support corrective and

preventative actions

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Bibliography

Legislature

Promotion of Administrative Justice, Act 3 of 2000 as amended

Code of Good Practice on the Handling of Sexual Harassment Cases

Code of Good Practice on Aspects of HIV/Aids and Employment

HIV and AIDS Technical Assistance Guidelines

Code of Good Practice on Aspects on the Employment of People with

Disabilities

Books

Bendix., S., Industrial Relations in South Africa (Fifth Edition), Juta and Co. Ltd: Cape Town, 2010

Bendix., S., Labour Relations in Practice – An outcomes-based approach, Juta and Co. Ltd: Cape Town, 2010

Kemp, N., Labour relations strategies: an interactional approach, Juta and Co. Ltd: Cape Town, 1992

Tustin, C. and Geldenhuys, D., Labour Relations: the Psychology of Conflict and Negotiation,(Second Edition), Oxford Southern Africa: Cape Town, 2000

Swanepoel, B.J., Erasmus, B.J. and Schenk, H., South African Human Resource Management – Theory & Practice (Fourth Edition), Juta & Co Ltd: Cape Town, 2008

Internet references

http://smallbusiness.chron.com/differences-between-destructive-constructive-conflict-1202.html

http://www.scribd.com/doc/10159892/Grievance-Procedure

http://www.scribd.com/doc/10159892/Grievance-Procedure

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