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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
2 http://www.scribd.com/doc/10159892/Grievance-Procedure
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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
3 http://www.scribd.com/doc/10159892/Grievance-Procedure
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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
5 Bendix., S., Industrial Relations in South Africa (Fifth Edition), Juta and Co. Ltd: Cape Town, 2010
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.
6 Bendix., S., Industrial Relations in South Africa (Fifth Edition), Juta and Co. Ltd: Cape Town, 2010
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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
10 Bendix., S., Industrial Relations in South Africa (Fifth Edition), Juta and Co. Ltd: Cape Town, 2010
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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:
……………………………………………………………………………………………………………
……………………………………………………………………………………………………………
……………………………………………………………………………………………………………
……………………………………………………………………………………………………………
……………………………………………………………………………………………………………
……………………………………………………………………………………………………
Resolved: □ Not Resolved: □
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: ………………………………………………………………..
……………………………………………………………………………………………………………
…………………………………………………………………………………………………………..
……………………………………………………………………………………………………………
………………………………………………………………………………………………………….
Resolved: □ Not Resolved: □
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
Page 21 of 37
Grievance Procedure within a large, hierarchically structured organisation11
11 Bendix., S., Industrial Relations in South Africa (Fifth Edition), Juta and Co. Ltd: Cape Town, 2010
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
Page 22 of 37
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
Page 23 of 37
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.
14 Bendix., S., Industrial Relations in South Africa (Fifth Edition), Juta and Co. Ltd: Cape Town, 2010
Page 24 of 37
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
Page 25 of 37
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
Page 26 of 37
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.
Page 27 of 37
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.
Page 28 of 37
GRIEVANCE FORM
Employees Name _______________________________________________
Job Title _______________________________________________
Post Level ________________________________________________
Employees Company Nr ________________________________________________
Section/ Division ________________________________________________
Nature of Grievance
__________________________________________________________________________________
__________________________________________________________________________________
____________________________________________
Solution Desired
__________________________________________________________________________________
__________________________________________________________________________
Signature ____________________ Date _________________
Page 29 of 37
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
Page 30 of 37
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
Page 31 of 37
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
Page 32 of 37
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.
Page 33 of 37
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.
Page 34 of 37
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
Page 35 of 37
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
Page 36 of 37
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
Page 37 of 37
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