The grievance procedure provides a mechanism for dealing with issues fairly, consistently and timely, before they develop into major problems. The grievance procedure enables an employee to raise issues with management about their work, or about the employer's, clients’ or fellow workers’ actions that affect the employee in a detrimental way.
Common issues which may give rise to a grievance include:
- terms and conditions of employment;
- health and safety;
- relationships at work;
- new working practices;
- company change and equal opportunities.
Although it may not be possible to solve all problems to everyone's complete satisfaction, organisations should attempt to deal fairly, reasonably and consistently with all employee grievances.
Grievance Procedures do not typically form a substitute for good day-to-day communication in the workplace. Employees and employers alike should always make reasonable efforts to discuss and resolve daily working issues in a collaborative and respectful manner. Many problems can be satisfactorily dealt with and resolved informally.
Stage 0ne - Invoking the Grievance Procedure
In the event that an employee has reasonable grounds to raise a complaint with their organisation, they should present their grievance in writing, headed "Formal grievance", to the immediate line manager. Where the grievance is against their line manager, the matter should be raised with a Director or HR. The employee’s written statement will form the basis of the grievance hearing and any investigations, so it is important that they state the nature of their grievance and the outcome that they are seeking.
A member of the Human Resources will then be required to invite the complainant in writing to attend a grievance meeting to discuss their complaint. They may or may not be offered the option to attend this meeting accompanied by a colleague or trade union official. The choice of companion is the complainant’s, but organisations typically reserve the right to refuse to accept an individual whose presence would undermine the grievance process.
The hearing should be held as soon as possible and normally within 10 working days of the employee’s written complaint. The Grievance hearing should be chaired by a neutral line manager. At the meeting, the complainant would ordinarily be asked to provide details of the nature of their complaint and what action the employee thinks should be taken to resolve the matter. Where appropriate, the meeting may be adjourned.
If the complainant is unable to attend the meeting because of circumstances beyond their control, they must inform the grievance investigation officer as soon as possible. If they fail to attend without explanation, or if it appears that they did not make adequate attempts to attend, the grievance procedure may automatically be progressed to the next stage, in the employee’s absence.
Following the meeting, organisations endeavour to respond to the grievance as soon as possible and, in any case, within 5 working days of the grievance meeting, advising the complainant of the following steps.
The investigation officer will then arrange to meet with the accused party, usually within 10 working days of meeting with the complainant. A member of Human Resources may also be present as a note-taker. It is good practice for the employee to take all reasonable steps to attend the meeting.
Stage Two – Mediation
Where the employee is complaining about another employee’s performance or conduct in the workplace, mediation may be offered to the employee, as a first resort resolution.
Formal procedures play an important role in the workplace. But many disputes could potentially be settled without the need to pursue a formal grievance procedure. Once formal procedures have been triggered, the tendency is for differences to become more adversarial. Once the conflict has escalated and positions have become entrenched, it is very difficult to alter people’s perceptions and have an open discussion. The likelihood of a mutually acceptable outcome then becomes more remote.
Every attempt would usually be made by the organisation to resolve the grievance informally, where appropriate. Mediation involves a neutral third party bringing two sides together with the aim of reaching a mutual agreement.
Mediation is especially effective when used at the initial phase of any disagreement before conflict escalates in the workplace. An early intervention can prevent both sides from becoming entrenched and the difference turning into a full-blown dispute. If the disagreement is resolved early on, there is less chance of the working relationship breaking down irrecoverably. This improves the likelihood of maintaining good and productive employment relations in the longer term.
It is not only the employer that suffers if there is conflict between employees. The situation can have serious implications for the individuals concerned and for bystanders who are not immune to events taking place around them. Being involved in a conflict – be it a personality clash or a dispute over performance – can cause psychological stress leading to mental health conditions such as anxiety and depression. The welfare of an employer is bound up with the health and wellbeing of its employees.
Mediation can provide a swifter response to a workplace conflict and can nip potentially damaging disputes in the bud. Mediation is not offered as a panacea, and there are some cases of conflict where it will not be suitable, but where suitable, it may be introduced at any stage of the conflict cycle.
What the process offers is a safe, confidential space for participants to find their own answers, by:
- exploring the issues, feelings and concerns of all participants and rebuilding relationships using joint problem-solving
- allowing those involved to understand and empathise with the feelings of those they are in conflict with
- giving participants insights into their own behaviour and that of others and opening up opportunities for change
- helping participants develop the skills to resolve workplace difficulties for themselves in future
- encouraging communication and helping the people involved to find a solution that both sides feel is fair and offers a solution that favours them
- using energy generated by conflict in a positive way to move things on.
Mediation may not be suitable if:
- used as a first resort – because people should be encouraged to speak to each other and talk to their manager before they seek a solution via mediation
- it is used by a manager to avoid their managerial responsibilities
- a decision about right or wrong is needed, for example where there is possible criminal activity
- the individual bringing a discrimination or harassment case wants it investigated
- someone has learning difficulties that would impair their ability to make an informed choice
- an individual is particularly vulnerable
- the parties do not have the power to settle the issue
- one side is completely intransigent and using mediation will only raise unrealistic expectations of a positive outcome.
Where mediation is introduced before or during the grievance process, the employee will be asked to confirm in writing that they agree that the grievance process can be adjourned whilst the mediation is being undertaken. Initially the mediator will hold separate meetings with the complainant and the accused. The aim of this first meeting is to allow each individual involved to tell their story and find out what they want out of the process.
The complainant and the accused will then be invited to attend an informal mediation meeting, in order to discuss the complaint and seek an amicable resolution. Every effort will be made to convene the mediation meeting at a time which is convenient for all attendees, ideally within five working days of the initial grievance hearing, but in any event, no later than ten working days.
The mediation meeting will start with mutual hearing of the issues – the mediator generally brings the participants together and invites them to put their sides of the story during a period of uninterrupted time. At this stage the mediator will begin to summarise the main areas of agreement and disagreement and draw up an agenda with the parties for the rest of the mediation.
Having identified the issues to explore, the parties are encouraged to communicate, promoting understanding and empathy and changing perceptions. The aim of this part of the meeting is to begin to shift the focus from the past to the future and begin to look for creative, constructive solutions. As the process develops, the mediator will encourage and support joint problem-solving by the parties, ensure the solution and agreements are workable and record any agreement reached.
Once an agreement has been reached, the mediator will bring the meeting to a close, provide a copy of the agreed statement to those involved and explain their responsibilities for its implementation. In some cases, no agreement is reached and other procedures may later be used to resolve the conflict. However, nothing that has been said during the mediation can be used in future proceedings.
Where mediation does prove successful, the employer should write to the relevant parties to confirm the agreed outcomes of the mediation process and to confirm that the grievance has officially been resolved. Following the mediation meeting, a record of discussion form will be completed and signed by all parties. This form will be kept on file and will typically be live for a minimum of three months.
However, should mediation prove unsuccessful the formal grievance process will be formally resumed.
Stage Three – Grievance Investigation
In the event that the mediation was not suitable or if suitable, it proved unsuccessful, a formal grievance investigation process must be initiated. The Grievance Investigation will be conducted and chaired by a neutral manager and will act as an impartial party.
The complainant will be invited to a formal meeting. The purpose of this formal meeting is for the complainant to provide details of the nature of their complaint and what action they think should be taken to resolve the matter (where there was no mediation stage). Where appropriate, the meeting may be adjourned and reconvened again within a reasonable time frame. This is a fact-finding meeting; information about any witnesses to the events will be sought out as well.
This meeting will be followed by a fact-finding formal meeting with the accused. The accused will be given every opportunity to explain their case fully, but they are required to confine their explanation to matters that are directly relevant to the complaint. The accused may too elect to nominate witnesses as part of their defence. The chair of the grievance investigation hearing will intervene if they think that the discussion is straying from the key issue. They may also intervene to ensure that the meeting can be completed within a reasonable time depending on the nature and complexity of the complaint.
Witnesses will typically be invited to individual fact-finding formal meeting/s. Witnesses should be reminded that all employees have an obligation to disclose information to the employer relevant to the employer’s business: i.e.: that they might know or discover. They should also be reminded that they are expected to act in good faith and do nothing to destroy the trust and confidence necessary for employment.
Dishonesty and/or actions or performance which leads to the either party's loss of trust and confidence in the other party, as well as any breaches of privacy and confidentiality are considered serious misconduct offences which are typically addressed via the Disciplinary Procedure.
Copies of any evidence obtained will be given to the accused long enough in advance of any further formal grievance investigation meetings for them to consider their responses. Confidentiality is at all times mandatory. Providing that the Chair of the grievance investigation has gathered enough facts and evidence in order to be able to reach a decision in relation to the complaint, they will produce an investigation report and invite parties individually to formal meetings to communicate their findings, decision and further actions required.
Right to Be Accompanied
The right to accompaniment applies only to a grievance hearing which concerns the performance of a duty by an employer in relation to a worker. This means a legal duty arising from statute or common law (e.g., contractual commitments).
Stage Four – Grievance Investigation Outcome Delivery
Following the grievance investigation, the complainant must be informed in writing within 10 working days of the outcome and told of any action that the employer proposes to take as a result of their complaint. If the complainant is dissatisfied with the outcome, they have the right to appeal.
Right to Appeal
If the complainant is dissatisfied with the outcome of an investigation, they may appeal within 5 working days to a company director or a manager entirely neutral to the process or the employment relationship. The appeal must be heard within 10 working days from receiving the appeal.
On receipt of the appeal letter, the appeal officer must make arrangements to hear the grievance at an appeal meeting. At the appeal hearing, the employee will again be given the chance to state their case and at this meeting the employee may or may not be entitled to be accompanied by a work colleague or an accredited trade union representative.
Following the meeting, the Company director will endeavour to investigate the appeal, respond to the grievance as soon as possible and, in any case, within 5 working days of the appeal hearing. If it is not possible to respond within this time period, the employee should be given an explanation for the delay and be told when a response can be expected. The employee will then be informed in writing of the Employer's decision on the grievance appeal and the reasons for it.
This is the final stage of the grievance procedure and the Company’s decision shall most likely be final.
Stage Five - ACAS Early Conciliation
In cases where an employee remains dissatisfied with the internal grievance process outcome, they have the option to seek external resolution through the Advisory, Conciliation and Arbitration Service (ACAS). Before initiating a claim in the Employment Tribunal, employees are advised to go through ACAS Early Conciliation.
ACAS Early Conciliation is a voluntary process designed to facilitate the resolution of workplace disputes without the need for legal proceedings. An ACAS conciliator, an impartial third party, will contact both the employee and the employer to explore possibilities for reaching a settlement. This process aims to resolve the dispute amicably and avoid the need for a tribunal hearing. The settlement negotiations do not require the advisory and signature of an employer solicitor.
Stage Six - Employment Tribunal (ET) Claim
If ACAS Early Conciliation does not lead to a resolution or if the employer chooses not to engage in this process, they can proceed to submit a claim to the Employment Tribunal (ET). This marks the formal legal stage in the dispute resolution process.
To initiate an ET claim, the employee must complete the ET1 form, providing details about the nature of their complaint, the parties involved and the desired outcome. It's crucial to adhere to the strict time limits for submitting an ET claim, generally within three months of the alleged discriminatory act or unfair treatment. If the process is not handled timely , it is best that you inform your employer as early as possible and certainly within this three months window, that you "preserve your rights".
Upon receiving the ET1 form, the tribunal will notify the employer, who will then submit a response (ET3 form) outlining their position. The case will proceed to a preliminary hearing, where a judge will assess the merits of the case and explore the possibility of settlement.
ACAS Role in Tribunal Claims
Even after the ET claim is lodged, ACAS can continue to play a role. ACAS may provide conciliation services during the tribunal process, aiming to assist the parties in reaching a settlement before the case proceeds to a full hearing.
However, raising grievances internally does not always go smoothly. You may face disbelief, inaction or retaliation. Plus, it helps to have expert guidance on UK laws and processes when making complaints.
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Invoking a Grievance Procedure