Grievance Handling Guide 206

8/9/2019 Grievance Handling Guide 206

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Grievance Handling Guide

WHAT IS A GRIEVANCE?

1. VIOLATION OF THE CONTRACT

Contract violations involve such matters as seniority, hours of work, staffing, wages, workingconditions, holidays and vacations - matters specifically covered in the contract.

2. VIOLATION OF PAST PRACTICE

The contract does not cover every practice on the job. Some have been established andrecognized by both the management and the union, and may be written or unwritten.

3. VIOLATION OF FAIR TREATMENT

If one employee is discriminated against or mistreated.

4. VIOLATION OF FEDERAL AND/OR STATE LAW

Laws written to protect workers are implicitly part of the contract and a violation of such a law canconstitute a grievance.

5. VIOLATION OF MANAGEMENTS RULES

If management sets forth rules and sets policies, it may be a grievance if it violates these rules.

GETTING THE FACTS: REMEMBER THE 5 WS

1. WHO is involved?

Name(s),of the grievant, department, shift, job classification, seniority, etc.Are they on probation?Have they been disciplined before?

Has a similar grievance been filed on the same issue?Who is the supervisor?Who are the witnesses?

2. WHEN did the incident or condition occur?

Give dates and times as accurately as possible.

3. WHERE did the grievance take place?


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Give the exact location, department, area, etc.

4. WHAT

Is the grievant story?

Is management's position?

Are the reports of witnesses?

Are there any records that help support your case?

5. WHY

Is this a grievance?

Has the contract been violated? (What about violations of past practice or the law?)

6. HOW

Should the grievance be settled? (What adjustments are necessary to correct the injustice?)

10 POINTS ON WRITING A GRIEVANCE

1. LIMIT DETAILS TO BASIC INFORMATION

Provide only enough information to identify the grievance so that management can respond.

(1) What is the problem?

(2) What violations have occurred?

(3) How the Monday, July 02, 2007Monday, July 02, 2007 problem should be fixed (remedy)

2. OMIT UNION'S ARGUMENTS, EVIDENCE AND JUSTIFICATION

Arguments, evidence and justification for the grievance should be used in oral arguments withmanagement. However, you should jot these facts down before you argue the case withmanagement.

3. DON'T LIMIT CONTRACT VIOLATIONS

Use the phrase "violates the contract" and the words "including but not limited to Article...". Ifthese terms are used, you are not limiting yourself to one specific article; additional article can beadded later.


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4. AVOID PERSONAL REMARKS

The grievance states the union's position, not the grievant's opinion. Avoid the use of the terms "Ithink" or opinions of management officials.

5. DON'T LIMIT THE REMEDY

Use the general phrase "to be made whole in every way". If you limit the remedy you don't allowthe union room to bargain on the grievance; or an item might be unintentionally left out - you maynot be able to add it in at a later time.

Example:

The union requests that the grievant, Billy Brown be recalled to his job classification with full backpay for all wages and benefits lost.

Wrong!

The union requests that the grievant, Billy Brown be made whole in every way, including recall tohis job classification with full back pay for wages and benefits lost.

Right

By including the term "made whole in every way", the grievant should receive any and all lossesdue to management's improper action.

Count such matters as time, expenses, and other considerations.

This could include wages, seniority, insurance benefits, vacation accruals, etc.

However, even though the term "made whole in every way" is added, the union must adviseeither the management official or the arbitrator as to the specific benefits requested.

6. CONSULT WITH THE GRIEVANT

Go over the written grievance. Explain the requested remedy and obtain the grievant's fullunderstanding.

7. SOLIDARITY

Explain the grievance to your members. Be sure they understand and support your efforts.

8. KEEP GRIEVANT UP TO DATE

Let the grievant know the status of the grievance - keep him or her advised of the stage it is atduring the steps of the grievance and arbitration procedure.

9. ARBITRATION


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Prepare each case on the assumption that it may go to arbitration. Most cases are lost or wonbased upon the early investigation of the grievance.

10. MAINTAIN A GRIEVANCE CASE FILE

Keep names, dates, memos that relate to the grievance. Other stewards may eventually get

involved

in the case - keep it well organized.

GRIEVANCE PROCEDURE TIME LIMITS

STEP A Informal:

Must be discussed with the grievants immediate supervisor within 14 days of the occurrence orwhen the grievant or the Union may reasonably have been expected to have learned of theoccurrence.

Verification of a STEP A Informal Decision Date: At the conclusion of the STEP A Informalmeeting the Union should request the supervisor to initial the STEP A Formal Grievance Form toverify the date of the Step A Informal decision.

STEP A Formal:

The STEP A Formal Grievance Meeting must be held with the installation head or designee within

7 days of the STEP A Informal decision.

The STEP A Formal Grievance Form must be completed within 7 days of the STEP A FormalGrievance Meeting.

STEP B APPEAL:

Must be appealed in writing to STEP B representatives office and include the entire grievancefile.

THE UNION MUST ADHERE STRICTLY TO THESE TIME LIMITS:

Failure to appeal within the time limits is considered a waiver of the grievance if the PostalService raises the issue of timeliness. In such cases, NALC will not be able to successfully obtainarbitration of the grievance on its merits. HOWEVER , NALC representatives should note that ifPostal Service fails to schedule a meeting or render a decision within the time limits prescribed inArticle XV, this failure shall automatically move the grievance to the next step of the grievance-arbitration procedure.


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DEVELOPING INFORMATION IN INVESTIGATORY GRIEVANCES

SOURCES OF INFORMATION

1. RECORDS

Personnel File

Production Records

Performance Records

Grievance Records

Safety Records

Medical Records

2. SPECIAL REPORTS

Such as: Supervisory

Medical

3. INTERVIEWS - In-House

Management

Union

Neutral

4. INTERVIEWS - External

Community - Such as: Local stores receiving stolen goods

5. POLYMORPHICS

6. POLICE

7. EMPLOYEE INFORMANTS

8. LOCUS OF INVESTIGATION

Example: Photo of location of alleged incident


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9. PHYSICAL EVIDENCE

PROCEDURES FOR USE OF SOURCES

Non-evaluative gathering of facts.

Determine possible witnesses.

Decide on order of interviews

Conduct interviews promptly

Examine reports

Examine records

Develop possible theories of case

Test for missing links

Develop working hypothesis

At all stages keep careful and complete notes

Decide on action now to be taken such as formulate charge; hold up; drop entirely

PROOF

Evidence is used to establish proof of a fact in the mind of the arbitrator. The degree of proofrequired depends on the nature of the case and must simply satisfy the arbitrator. There are threedegrees of proof used by arbitrators in making decisions:

(1) Proof beyond a reasonable doubt - the strictest degree

(2) Clear and convincing proof - the moderate degree

(3) "A preponderance of evidence - the minimum degree

A greater degree of proof will be required for cases determining more critical issues for theindividual, the labor/management relationship, and the law. Generally, arbitrators look for clearand convincing proof in the majority of cases.

BURDEN OF PROOF

One party has the obligation to establish through evidence the issue to be proven. This burden ofproof consists of two elements:

(1) The burden of producing evidence


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(2) The burden of persuading the arbitrator of the issue in dispute

The burden of proof depends on the nature of the case. Generally, in non-disciplinary hearings,the grieving party, which is usually the union, bears the initial burden. In disciplinary cases, it isusually the employer who has the burden of proving just cause. The burden of proof may alsoshift. In arbitration, the concept of burden of proof may be applied according to the particular

arbitrator who may or may not find it useful to decision making.

PREPARATION OF THE WITNESSES

ENCOURAGE THE WITNESS TO:

Tell the truth

Listen very carefully to the questions that are asked and to answer only the question asked in themost direct and simplest way possible.

Answer "I don't recall" if he or she does not remember

Answer "I don't know" if he or she does not know an answer

Ask for the question to be explained or restated if he or she doesnot understand the question

Answer only "Yes" or "No" in response to questions fromopposing counsel on cross-examination

Maintain a calm and dignified demeanor while testifying so as to

enhance his or her credibility

Dress neatly.

DISCOURAGE A WITNESS FROM:

Arguing with opposing counsel during cross-examination (explainthat it is your job to argue)

Making "wise guy" or sarcastic remarks or otherwise trying to"make points" on cross-examination (explain that such conductdiminishes credibility)

Offering explanations or attempting to rephrase the question andanswer volunteering information that is not specifically asked


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TESTS FOR JUST CAUSE

There are seven (7) specific questions that must be answered in an arbitrator's mind to establishthat a suspension or discharge was for "just cause." A positive "no" answer to one or more of the

questions would indicate that "just cause" did not exist.

1. Did the organization give to the employee forewarning or knowledge of the possible orprobable disciplinary consequences of the employee's conduct? In other words, were there somekind of written (or oral) instructions governing the situation the employee is being disciplined for.This could be a notice posted on a bulletin board or found in an order book. The important thing isthat it must be proven that there was actual written or oral communication of these rules beforethe incident occurred.

2. Was the rule or managerial order reasonably related to the orderly, efficient and safe operationof the organizations business? Even if he/she believes it's unreasonable, the employee mustobey the order. The employee can later file a grievance.

3. Did the organization, before administering discipline to an employee, make an effort to discoverwhether the employee did, in fact, violate or disobey a rule or order? The employee has a right toknow what he/she is being disciplined for. The investigation should be made before disciplinaryaction is taken. In too many cases, the action is taken without proper investigation.

4. Did the organization conduct the investigation fairly and objectively? (No comment needed.)

5. At the investigation, was there substantial evidence that the employee was guilty as charged?

6. Has the organization applied its rules, orders, and penalties evenhandedly and withoutdiscrimination to all employees? Have other employees been guilty of the same infraction of rulesand not received a disciplinary action?

7. Was the degree of discipline administered by the organization in a particular case reasonablyrelated to (a) the seriousness of the employee's proven offense,and (b) the record of theemployee in his/her service with the organization? It would not be just to fire an employee forbeing tardy twice over a six month period if he/she had an unblemished record for 15 years priorto that. On the other hand, if the employee has a record of previous offenses, that record shouldnot be used to judge whether he/she is guilty of the latest offense.

Following the above will not guarantee a winner in all grievances, but it should enhance theirchances of being settled successfully.

STANDARDS DETERMINING PAST PRACTICES

It is difficult to identify any standards by which arbitrators determine if a practice exits and howmuch weight it should be given insofar as their decision and award is concerned. However, thereare some very definite ingredients when the question of past practice is taken underconsideration by the arbitrator.


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1. CONSISTENT - That is to say that the practice has been granted or applied consistently,uniformly, regularly and without break.

2. CLEARLY STATED - This mean that the practice has been observed by the parties and isfollowed without protest or objection from one party or the other.

3. DURATION - That is to say that it has existed and been followed over a reasonably long periodof time. In this regard a "bridge effect" may be of significance to some arbitrators. The bridgeeffect results from a practice commencing under one agreement and continuing unchanged andunprotested into a renewed agreement. As a result it bridges one collective bargaining agreementwith another between the parties without having been changed or discontinued.

4. JOINTLY ACCEPTED AND ACTED UPON - This means that both parties, through their linerepresentatives, have operated as though the practice in fact, existed and was a guiding rule.This should indicate to the arbitrators that a practice exits that is agreeable to and accepted byboth parties.

One import factor that should be noted is that the frequency of the practice may not be asimportant as the mutual observance. In other words, a practice which occurs only three times a

year and which, on each occasion, is consistently executed may have more weight on anarbitrator's decision than another practice, which occurs 15 times a year but is not consistentlyadministered from one time to another.

Proof of past practice requires documentation and evidence. It is essential that when a pastpractice exists and is grieved, all possible documentation and facts be submitted along with theallegation of a violation of the past practice.

In order to be binding, past practice should have one or all of the aforementioned elements.

TYPES OF INFORMATION

DISCIPLINE

Letter of warning

7/D Suspension Notice

14/D Suspension Notice

Emergency Suspension Notice Removal Notice

Grievant and or Witness Statements


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Thank You

Swastik73:

In response to your inquiry re: grievance procedure/dispute resolution, I offer the

following:

"All disputes, complaints or grievances arising out of the terms and conditions of

employment, or recognized working procedures, or written, negotiated agreementsmust be presented through this procedure. The employee(s) shall continue to work

as directed by management pending the final disposition of the issue."

"Prior to any formal grievance, the employee must discuss the issue with his/herimmediate supervisor within three (3) working days after the date of occurrence, or

three (3) working days after the date which the affected employee(s) couldreasonably been made aware of the issue giving rise to the dispute or complaint."

"If not resolved by the immediate supervisor within three (3) working days, the

employee(s) may submit a formal grievance, in writing, to Step 1 no later than three(3) working days."

STEP !: A written grievance may be submitted by the grievant to the immediate

supervisor, as set forth above. The employee may request a union representativeaccompany him/her to the discussion, which will be held as soon as practicable, but

not more than three (3) working days after the submission of the grievance. Thesupervisor shall provide a written answer to the employee within three (3) working

days after the meeting. If the issue is not resolved, the employee(s) and/or Unionmay appeal to Step 2, within three (3) working days.

STEP 2: A meeting between the employee, union representative, the Department

head and the supervisor shall be held upon receipt of the appeal, or within three (3)

working days thereof. The Department Head shall provide a written response to theunion representative within three (3) working days of the meeting. If no settlement


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is reached, to be timely, the union must appeal to Step 3 within five (5) workingdays.

STEP 3: A meeting between the General Manager, Department Head, Human

Resource Representative, the District Union Representative, and two (2) other localUnion officials (if a discipline case one [1] local union official may be displaced by the

grievant) shall be arranged within five (5) working days of receipt of the Union'sappeal from Step 2. The meeting date will be established as soon as possible, but no

later than twenty (20) working days from the receipt of the appeal, except wherecircumstances warrant an extension. Such extension shall not extend for more than

five (5) working days.

The General Manager, or his designate shall render a decision, in writing, to theDistrict Union Representative no later than five (5) working days. If the matter is not

resolved, the Union may submit the matter to ARBITRATION within ten (10) workingdays of receipt of Management's STEP 3 answer.

ARBITRATION: Each party shall submit a list of five (5) names to the other. From the

Ten (10) names presented, one (1) should be selected as the impartial arbitrator. Ifno one is acceptable, the union shall submit three (3) names; the company shallsubmit two (2) names resulting in a list of five (5) names. (In subsequent cases, the

arrangement will be reversed.) The party submitting the most names will be the firstto eliminate one name, the other party will follow and the sequence will continue

until only one name is left.

(In the US a list of qualified arbitrators may be obtained from the AmericanArbitration Association [AAA], the Federal Medication and Conciliation Service

[FMCS], or the National Academy of Arbitrators [NAA]. Usually, they are attorneys orprofessors who have developed a reputation as fair, impartial and unbiased.)

The parties agree that the sole remaining name shall be the arbitrator for this caseonly. The parties further agree that the decision rendered will be final and binding onall parties, i.e. Management, Union, grievant and employees. The expenses of the

arbitration, including the arbitrator's fee shall be [borne equally by the parties ORpaid by the losing party]

The arbitrator will have no authority to add to, delete from, or amend any

term/condition of employment, or recognized working procedures, or written,negotiated agreements.

Post hearing briefs will not be filed unless requested by the arbitrator, or at the

request of either party.

The arbitrator's decision may be oral (bench decision) or written. If written, it shallbe delivered to the parties simultaneously no later than thirty (30) working days

form the close of the hearing.


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Swastik73:As an alternative to the Grievance Procedure I submitted, some Companies (usually

without unions) have established a "Peer Review" process.

Under this scheme, selected employees (usually 3) are teamed with selectedmanagement (2) to hear employee complaints. At the end of the hearing the

"judges" vote by secret ballot ("complaint is upheld; complaint is denied"). Countingof ballots is stopped when a majority is reached and all ballots are destroyed.

I say "selected" because a "pool" of employee and management personnel must be

established. From the workforce volunteers (employees and management) have the

opportunity to express their interest by "signing up". Candidates for training areselected on the basis of their reputation - fair, objective, incorruptible, and open-

minded - and overall record.

The next step is to train the "selectees" as to the duty and scope of their

responsibility. To judge the case on the facts and evidence presented by bothsides;Not to be intimidated by management or coerced by employee(s); Be willing to

question witnesses, respectfully, to gain further insight and clarification of theirstatements as well as to assess credibility; To render a fair decision, based solely on

"just cause" and not on personal or emotional considerations, and to recommend ajust penalty for the offender.

In the beginning, Management will have some doubts as to the overall impact of

such a Review procedure on its authority to "run the business". In some cases, anargument directed at "empowerment of employees", "employees as strategic

business partners", or (in the US, usually involving discrimination cases) "a cheapprelude to determining the overall case prior to litigation" is sufficient for

management to take a "try and see" appoach.

In other cases, Management has been so protective of their position so as to bereluctant to release any power to the employees. In such cases a major "selling

effort" will be required to calm Management fears that the "wolves have taken overthe chicken house".

In either case, I would therefore recommend that initially "panels" be equally

represented (3 & 3). But as time goes on, and the Review system becomes moreaccepted (the results will speak for themselves), management will recognize that

such a scheme is in the best interests of the Company as well as the employee, and

feel more comfortable with 3/2 panels.


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SC:

Yes.

Persons with complaints, concerns, grievances want a swift review and resolution of

the problem by management. Such quick response is beneficial to the employee,Management and the organization.

The employee because (s)he knows that the issue has been addressed in a timely,

fair and consistent manner, even though they may not like the resultant answer.

Management can concentrate fully on running the business without distractions.

The organization runs more efficiently since everyone knows that the issue has beenresolved, one way or the other, and the employees can apply their efforts to their

responsibilities.

The "3 Step" procedure encompasses a progressive face to face review of the issueby sequentially higher levels of Management and Labor. The issues become clearer

as the parties move away from emotion and toward logic. (This is the method mostcommonly used in the US.)

Of course, this presumes that the parties actually want to resolve the grievance in a

manner beneficial to both. If there is a hidden agenda, wherein one party seeks tocome out ahead, the issue usually finds its way to arbitration.

In the "Peer Review" procedure, generally reserved for more sophisticated

organizations, there is only one "step" involving employees and management who

have no direct interest in the dispute and who can review the issue and attendantfacts without bias.

SC:

Yes.

Persons with complaints, concerns, grievances want a swift review and resolution of

the problem by management. Such quick response is beneficial to the employee,Management and the organization.

The employee because (s)he knows that the issue has been addressed in a timely,

fair and consistent manner, even though they may not like the resultant answer.

Management can concentrate fully on running the business without distractions.

The organization runs more efficiently since everyone knows that the issue has beenresolved, one way or the other, and the employees can apply their efforts to their

responsibilities.

The "3 Step" procedure encompasses a progressive face to face review of the issueby sequentially higher levels of Management and Labor. The issues become clearer


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as the parties move away from emotion and toward logic. (This is the method mostcommonly used in the US.)

Of course, this presumes that the parties actually want to resolve the grievance in a

manner beneficial to both. If there is a hidden agenda, wherein one party seeks tocome out ahead, the issue usually finds its way to arbitration.

In the "Peer Review" procedure, generally reserved for more sophisticated

organizations, there is only one "step" involving employees and management whohave no direct interest in the dispute and who can review the issue and attendant

facts without bias.

Dear Swastik,

I don't have a readiy to use designed format for grievance handling however iam

posting a guideline for creating your own grievance handling policy. I hope thiswould be of help to you.

Organisations need to have well-written grievance procedures in place that

encourage employees to raise their complaints without fear of reprisal. Further, theyneed to ensure that when grievances are raised they are handled effectively and

sensitively. It should be realised that it takes some courage on part of the employeesto raise their head above the parapet and make a compliant. The reception that

employees receive when they have made a stand is crucial to the maintenance of a

healthy employment relationship and employee relations.

Employees become concerned or worried about all sorts of issues, some are work

related and others are of a more personal nature but may impact on their worksituation. Issues may concern individual workers or affect group of workers leading

to individual or collective grievances.

When employees voice these concerns to managers, in order to seek some sort ofredress, they are initially classified as complaints. Good day-to day management

should ensure that the majority of such matters are resolved quickly and to the

satisfaction of all parties. It is not, however, always possible to find quick and easysolutions to employees complaints.

Iit is a good practice to separate grievance and disciplinary procedures, as their aims

are very different. Appeals against disciplinary decisions should be channelled

through the disciplinary appeals procedure, not the grievance procedure. Thetdecisions on the scope of grievance procedure need to be made at the design stage

and should depend on the size, nature and culture of the organization as well as howsophisticated its existing procedures are.

It is obvious that fair and efficient handling of complaints and grievances in the


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workplace can significantly contribute to good employee relation. This can beachieved through good management practices but it is preferable to adopt a formal

written policy and procedure, to ensure consistency and a co-ordinated approach.Another benefit is that should things go wrong, and a poorly handled grievance leads

to legal intervention the organisation will have a better defence if it can be shownthat a comprehensive grievance procedure was in place and was correctly utilised.

The existence of formal grievance procedures should encourage employees to raise

concerns without fear of reprisal, provide a fair and quick way of dealing withcomplaints, prevent minor disagreements developing into more serious disputes and

help to build an organisational climate based on openness and trust.

It is important that a grievance procedure should not be tokenist in nature. It iscrucial as to how the grievance procedure is perceived and applied for it to be

successful. It is vitally important for the procedure to have credibility. All partiesneed to be satisfied that it is both fair in conception and application. It certainly

should not be seen as a device for simply going through the motions. If a grievance

is raised then it is crucial that all parties have a desire to ensure that there is a fairhearing of the complaint and that, ultimately, justice is done.

A good practice dictates that procedure should be:

set down in writing

aimed at settling matters as closely as possible to the point of origin

equitable in the way in which all workers are treated

simple to understand

rapid in their operation to ensure that grievances are processed in a timely

manner.

Further the procedure should ensure that, if a grievance is not settled at the informal

or the first formal stage, workers should have the right to have their grievancesheard at further levels, i.e. the right to appeal should be built into each stage.

The number of stages contained in the procedure will depend on the size and nature

of the organisation, the management structure and the availability of resources. Inthe informal stage the grievance is discussed informally with the immediate

manager. If the matter is not resolved the grievance is taken to the next stage andso on. In each stage a more senior manager handles the issue; the last stage being

handled by the managing director or his authorised deputy or by a grievance

committee.

A good grievance procedure should outline:

how and with whom to raise the issue

whom next to apply if not satisfied time limits to each stage

the right to be represented

Further the grievance procedure should provide for proceedings and records to be


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kept confidential. The organisation must keep accurate records detailing the natureof the grievance, the management response and the reason behind it, as well as any

action taken. The managers handling the grievance should be open minded andimpartial in their thoughts and actions and should be trained in grievance handling.

It will be a good practice that another management representative who can act as awitness and/or a note taker accompanies managers.

The grievance procedure should be made known to all workers either by providing

individual copies during induction or by providing access via the organisationsintranet site. The grievance procedure document should specify the scope and rule

out issues that are covered by other company procedures such as the disciplinary,harassment, job evaluation appeal procedures etc. Further it would a good practice

to have a pro forma document for notification of formal grievance and a flow chartshowing how the procedure operates. Also, special allowances should be made for

individuals who are disabled and whose first language is not English.

Needless to say, the grievance procedures should adhere to the rules of natural

justice. It should be fair and seen to be fair. There should be full investigation by anunbiased individual to establish the facts of the case. Employees who have raised a

grievance should not subsequently be disadvantaged in any way.

Regards,

Faizal Haque

RESOLVING DISPUTES AT WORK:

New procedures for discipline and grievances

A GUIDE FOR EMPLOYEES

This guide tells you about new rights and procedures you must follow ifyou have a grievance in work are facing disciplinary action or dismissal.

It is not a legal document and for further advice see contacts on page 1.

INTRODUCTION - THE NEW DISPUTE RESOLUTION

REGULATIONS

On 1 October 2004 the Employment Act 2002 (Dispute Resolution)Regulations 2004 (called the Regulations in this guidance) come into

force giving new rights and responsibilities to both the employer andemployee.


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All employers must now have minimum procedures for resolvinggrievances, disciplinary action and dismissal. Many employers may

already have procedures in place that go further. In which case therewould be no need to take action other than to confirm compliance with

the new procedures.

When you start work with a new employer, he or she must give you,within two months of the starting date, a written statement ofemployment particulars, such as pay and hours, and this must include a

note of the employers disciplinary and grievance procedures. In

particular, the note must set out any disciplinary rules which apply toemployees and tell you to whom you should go if you have a grievance.

Under the new Regulations an employer and an employee must in certaincircumstances, by law, follow these minimum procedures.

How does this affect you?

If you do not follow them it could be serious.Unless you have first put your grievance in writing and allowed at least

28 days to pass - you will no longer, as a general rule, be able to make a

claim to an Employment Tribunal based on a grievance with youremployer or former employer (unless your grievance is about dismissal).If the grievance, disciplinary or dismissal procedures have not been

followed before the case goes to a tribunal, the tribunal will decidewhether that is the fault of the employer or you. If it is you, any money

awarded will normally be decreased by at least 10% and possibly up to50%. If it is the employers fault, any money awarded will normally be

increased in the same way.

These new minimum procedures apply only to employees but not to otherworkers who supply services to employers, for instance freelancers or

subcontractors. This is an important and complex point. If you need help, or

advice on whether or not the procedures apply to you, you can contact yourtrade union representative or local Citizens Advice Bureau

www.adviceguide.org.uk. You can also get advice from Acas: atwww.acas.org.uk or on their helpline 08457 47 47 47; or the TUCs website

at www.worksmart.org.uk.

Key points

Your employer is bound by law to have disciplinary, dismissal andgrievance procedures and to tell you what they are.

Before using these procedures you and your employer should attempt tosort problems out informally where possible.

GRIEVANCE PROCEDURE

You are now required to send your employer a written statement ofyour grievance. Your employer must then arrange a meeting to discussit, and then tell you the decision. You have a right to appeal against

that decision at a further meeting and you must appeal to completethe procedure in the Regulations. If you disagree with what your

employer decides to do after the appeal meeting, you will need tomake a claim to an employment tribunal if you want to resolve the

matter by legal means.

As a general rule, you will not be able to make a claim to an
http://www.adviceguide.org.uk/http://www.acas.org.uk/http://www.worksmart.org.uk/http://www.adviceguide.org.uk/http://www.acas.org.uk/http://www.worksmart.org.uk/


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employment tribunal based on a grievance unless you have put yourgrievance to the employer in writing and then allowed 28 days to

pass. This rule does not apply if your grievance is about dismissal, orabout disciplinary action that you agree was taken against you on

conduct or capability grounds (unless you think the action involvedunlawful discrimination against you).

DISCIPLINARY ACTION AND DISMISSAL PROCEDURE

If your employer is contemplating taking disciplinary action againstyou on conduct or capability grounds, or dismissing you, theresponsibility lies with him or her to start a dismissal or disciplinary

procedure.

Your employer is required to send you a written statement of his orher reasons and to arrange a meeting to discuss it with you. If you

disagree with the decision he or she makes after that meeting, you

have a right to appeal, and your employer must arrange a furthermeeting. You must appeal to complete the procedure in the

Regulations. If you disagree with what your employer decides to do

after the appeal meeting, you may decide to make a claim to anemployment tribunal. Before doing so you may wish to take further

advice, possibly from your union representative if you are a unionmember or local CAB.

THE MEETINGS

You have a right to be accompanied to any meetings to discuss yourgrievance, and any meetings about dismissal or disciplinary actionwhich your employer intends to take against you. You may choose to

be accompanied by someone you work with or a trade union official.

GOING TO A TRIBUNAL

You can make a claim to an employment tribunal by completing aclaim form, available from Jobcentres, Law Centres and CitizensAdvice Bureaux, or online at www.employmenttribunals.gov.uk. Youshould note that you will generally need to do this within a specified

time limit, which can be as short as three months beginning with theday your employment ended or when the matter you are complaining

about happened. However, in certain circumstances this time limitwill be extended if you complete the first step of the statutory

procedure.

CHAPTER 1 - HOW TO RAISE A GRIEVANCEGrievance procedures

Grievance procedures are procedures which enable you to raise anyconcerns you have about your job with management. These concerns

could be about the work itself, your working conditions or about thepeople you work with. Your employer must, by law, tell you in writing

what procedures you should follow at your place of work if you want toraise a grievance.

The first thing to do if you have concerns is raise the matter with the

person specified in the grievance procedures, usually your line manager.

If this is not possible, or if your problem is with that person, you shouldgo to the next most senior person. Try to get the problem resolved
http://www.employmenttribunals.gov.uk/http://www.employmenttribunals.gov.uk/


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informally at this stage.

Although these first discussions are informal, you may find it helpful tokeep a brief note of any discussions you had, noting the date and time,

whom you spoke to, and the main points covered. These will be useful ifthe problem is not resolved at this stage and you have to go on to more

formal procedures.

You should begin a formal grievance procedure if your employer fails to

resolve the matter to your satisfaction. If you do not begin a formal

procedure, you will not be able to make a claim to an employmenttribunal that your employer has failed to honour your statutory

employment rights. (This does not apply, though, if your grievanceconcerns dismissal, or disciplinary action short of dismissal that you agree

was taken on conduct or capability grounds. See Dismissal andDisciplinary Procedures for more details.)

If you do have to take matters further, the grievance procedure has threesteps:

The written statementYou must set out your grievance in writing and send a copy to youremployer. If you have problems expressing yourself in writing you can

ask for help at a CAB or, if you are a union member, from a trade unionrepresentative. An example of a written statement is on page 16.

The meeting

When your employer has read your written statement he or she mustinvite you to a meeting to discuss your grievance. He or she can allow

himself or herself a little time to look into your complaint but should notdelay for an unreasonable amount of time.

You have a right to be accompanied to this meeting by someone whoworks with you or by a trade union official. The meeting must be held at

a time and place that are reasonable for you and anyone accompanyingyou. If either of or you is disabled, the employer must take all reasonable

steps to make sure that you have no problems getting to the meeting.You should attend the meeting. If for some reason you, or the person

you have chosen to come with you, cannot get there for a reason which

you did not know about when the meeting was arranged, the employermust arrange another meeting and you should attend it.

Prepare carefully for the meeting and discuss the matter fully with anyone

you have asked to accompany you. If there is anyone there you dontknow, ask your employer to introduce them. Your employer should

explain how the meeting will be held, who will speak and when. Youremployer should give you an opportunity to set your case out calmly and

clearly, and, if appropriate, to explain what you have done to try toresolve the problem informally. Be proactive. Use the opportunity to

make some suggestions as to how the problem might be resolved. Thiswill help you and your employer. Be concise. If you have any other

grievances, consider if you need to raise them separately.After the meeting not necessarily straight away the employer must

tell you what he or she has decided. If you do not agree with his or her


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decision, you have the right to appeal, and your employer should informyou of this.

The Appeal

If you feel that your grievance has not been satisfactorily dealt with, youshould tell your employer that you are going to appeal. An example of an

appeal letter is on page 16. He or she must arrange a meeting to discussthis. The same rules apply to this as to the original meeting. It must beat a reasonable time and place and you have a right to be accompanied. If

you do not appeal, but go straight to an employment tribunal with your

complaint, any money you are awarded may be reduced by between 10%and 50%.

After the appeal meeting, the employer must tell you what he or she hasdecided. This is his or her final decision. If you are still not satisfied, and

you think that your employment rights have been infringed, you may have

to take the matter to an employment tribunal (see chapter 3). Butdiscuss it first with your trade union representative or local CAB.

Raising a grievance after you have left your job

If you leave a job but still have an outstanding grievance, you can pursueit using a shorter, two step procedure, known as the modified procedure,if:

You and your employer agree in writing to use the modifiedprocedure; and

Your employer did not know about the grievance or the procedurewas either not started or was started but not completed before you

left the employment.

The two steps are:1 You send a written statement of grievance to your former employer

2 Your former employer writes back to you, answering the points

you have raised.When you do not need to go through the procedures, or the proceduresdo not apply

You have left the employment before the grievance procedure hascommenced and it is not reasonably practicable for you to write a

written statement of grievance.

You have reasonable grounds for believing that that putting yourgrievance in writing to your employer would result in significantthreat to you or your property or some other person or their

property.

You have been subject to harassment and have reasonable groundsto believe that putting the grievance in writing to your employerwould result in further harassment.

You do not need to go through the procedures if the grievance is acollective one, that is if a recognised trade union or workplace

representative raises it on behalf of two or more employees.

Your employment has ended, you did not put your grievance inwriting to your employer before your employment ended, and it has

since become not reasonably practicable for you to do so, for

example if he or she has gone abroad.

It is not reasonably practicable for you to put your grievance inwriting to your employer within a reasonable period, for example


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because your employer is a sole trader and is not available due tolong-term illness.

Finally there will be circumstances in which it is just not possible tocomplete the procedures, for example if one of the parties leavesthe country or becomes seriously ill.

CHAPTER 2 - DISMISSAL AND DISCIPLINARY ACTIONIf your employer is concerned about your conduct or capability, he or sheshould try to sort things out with you before considering disciplinary

action or dismissal.

The new statutory minimum procedures come into play when theemployer actually contemplates dismissing you or taking other disciplinary

action against you. However, many employers already follow additional,preliminary procedural steps for instance, holding investigation

meetings and/or issuing a series of verbal or written warnings,culminating in a final written warning before reaching this point. If you

are already entitled to this as part of your terms and conditions ofemployment, the new statutory minimum procedures do not change

things. They will need to be followed in addition to your employersprevious procedures. Not to do so may count as unreasonable behaviour.

It would help to make a short note of any discussions you have withmanagement about a work problem, recording the date of the discussion,

whom you spoke to and the main points discussed. This may be useful if

your employer takes formal proceedings.At the point your employer contemplates taking disciplinary action or

dismissing you, he or she should follow the minimum statutory

disciplinary procedures. Disciplinary action here means action taken ongrounds of your conduct or capability and does not include warnings or

suspension on full pay.If your employer does not follow the new statutory minimum procedures,

and

1] dismisses you, you may complain to an employment tribunal, who willnormally find the dismissal to be automatically unfair and increase

compensation; or2] takes other disciplinary action, short of dismissal, against you and you

subsequently make a successful employment tribunal claim about thataction, any money awarded to you is likely to be increased by between

10% and 50% (assuming the failure to follow the procedures was notyour fault).

The new statutory minimum procedures apply if you are an employee; on

a fixed-term contract of a year or more which is not renewed; and if you

are dismissed on grounds of age and you have not reached the age of 65or, if different, the normal retirement age for your job.Like the grievance procedure, the discipline and dismissal procedure has

three steps.

The written statementYour employer must prepare a written statement of his or her reasons for

considering disciplinary action or dismissal and send you a copy of it.

Read the statement carefully. The statement should be clear and explain


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your employers position. If you have trouble understanding it, discuss itwith a workmate or a trade union official or take it to a CAB.

The hearing

Once he or she has sent you the statement your employer must inviteyou to a meeting to discuss the issue. He or she should allow you

enough time to think about what has been said but should not delay themeeting for an unreasonable time.

You have a right to be accompanied to this meeting by someone who

works with you or by a trade union official. The meeting must be held ata time and place, which is reasonable for you and anyone accompanying

you. If either of you are disabled the employer must take all reasonablesteps to make sure that you have no problems getting to the meeting.

You have a duty to attend the meeting. If for some reason you or theperson you have chosen to come with you cannot get there for a reason

which was not foreseen when the meeting was arranged the employermust arrange another meeting and you must attend it.

Prepare carefully for the meeting and discuss the matter fully with anyoneyou have asked to accompany you. If there is anyone there you dontknow, ask your employer to introduce them. Your employer should

explain how the meeting will be held, who will speak and when. Youremployer must give you an opportunity to set your case out calmly and

clearly. Listen to what your employer has to say and give your side ofthe case. Be concise. The employer may dismiss or take the disciplinary

action against you at this point.

The appeal meetingAfter the meeting, your employer must let you know his or her decision.

If you want to appeal against this decision, you must tell your employer.

An example of an appeal letter is on page 17. You must appeal tocomplete the statutory procedures.

Your employer must then arrange a meeting to hear the appeal.Again you have a right to be accompanied to this appeal meeting by

someone who works with you or by a trade union official. The meetingmust be held at a time and place, which is reasonable for you and anyone

accompanying you. If either of you are disabled the employer must take

all reasonable steps to make sure that you have no problems getting tothe meeting. You have a duty to attend.

If for some reason you or the person you have chosen to come with youcannot get there for a reason which was not foreseen when the meeting

was arranged, the employer must arrange another meeting and you mustattend it.

Prepare carefully for the meeting and discuss the matter fully with anyone

you have asked to accompany you.After the meeting the employer must decide what he or she is going to

do and tell you what it is. This is his or her final decision and if you arestill not happy with it, and wish to continue, you will need to take your

case to an employment tribunal.Can the grievance procedure apply to a dismissal or disciplinary

procedure?


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You do not need to start a grievance procedure over a dismissal in anycircumstances (unless you are complaining about constructive dismissal

i.e. you are claiming that you were forced to resign because of youremployers behaviour).

You can start a grievance procedure about disciplinary action if:

you disagree with your employer that the action was taken onconduct or capability grounds; and/oryou consider that the action constituted unlawful discriminationagainst you.

In either of these circumstances, you should put your grievance to the

employer in writing. Provided you do this before the appeal meeting underthe disciplinary procedure that meets the legal requirements. If you leave

it until after the appeal meeting under the disciplinary procedure has

already taken place, you should go through a full grievance procedure.

Instant dismissal

An instant dismissal when the employer has not made any investigationof the circumstances is nearly always unfair. However there are some

very rare cases involving gross misconduct where tribunals have ruledthat the dismissal was fair because the circumstances made an

investigation unnecessary. In these cases the Regulations allow theemployer to dismiss first and then operate a two-step procedure going

straight from the written statement to the appeal without holding ahearing in between.

When an employer does not need to go through the new procedures

There are some circumstances in which an employer is allowed to dismisssomeone or take disciplinary action without going through the

procedures. These are:

If the action your employer takes is to give you a verbal or writtenwarning or suspend you on full pay. [If you do not agree with suchaction you can raise a grievance].

If there are reasonable grounds for believing that doing so wouldresult in significant threat to his/her person or property or some

other person or their property.

Collective Issues, where discussion between managem ent andemployee representatives is the best way of taking matters

forward. An example is when an employer lays off a group of staffand either before or when the employment terminates offers to rehire

them under different terms and conditions.

When the employer is under a duty to consult employeerepresentatives in relation to collective redundancies.

When employees are dismissed whilst taking industrial action. (Inthe case of lawful, officially organised action, special arrangements

apply.)

When it is not possible for employment to continue, for examplewhen a factory burns down and it is no longer practicable for the

employer to employ anyone or where it becomes illegal to employ aparticular employee.

It is not practicable for the procedures to be complied with within a


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reasonable period.

CHAPTER 3 - APPLYING TO AN EMPLOYMENT TRIBUNALEmployment Tribunals hear claims about matters to do with employment

such as unfair dismissal. The Tribunals are courts, but have less formalprocedures than the ordinary civil courts. Preliminary hearings, known as

Pre-Hearing Reviews (PHRs), usually take place before a legally-qualifiedchairman on his or her own. Full hearings, which decide outstandingissues and conclude cases, usually take place before three tribunal

members; the chairman, and two members who are experienced in

dealing with work related problems. Usually one of these members willhave a background in management and the other will have experience of

representing employees. If you would like more information, you can usethe Employment Tribunal public enquiry line on 0845 795 9775.

Time limits for making an applicationThere are time limits to follow when making a claim to a tribunal. In

unfair dismissal cases, this is usually three months from the date youremployment ended. In other cases, if the statutory grievance procedure

applies, the three months may be extended to six months (see paragraph

below). If your claim is received after the applicable time limit, thetribunal will not normally accept it. Though, in certain circumstances, thenormal time limit will be extended for submitting tribunal claims, to allow

extra time for workplace discussions to continue, without obligingemployees to submit premature applications in order to meet deadlines.

It should be noted that the existing discretion of the tribunal to extend atime limit where it was not reasonably practicable for it to be met (or,

under some jurisdictions, where it is just and equitable to extend it) isunaffected by these changes.

There are certain types of cases which are subject to different time limits.These are set out below under the heading Special Cases. In particular,

if your claim is concerned with equal pay the time limit is six months,

which may be extended to nine months if the statutory grievanceprocedure applies in your case (see paragraph below).

If your claim is based on a grievance with your employer or formeremployer, and the statutory grievance procedure applies, your claim will

not be accepted at all unless you either:

Put your grievance in writing to the employer and then allow atleast 28 days to pass before putting in your claim to the tribunaloffice; or

Give a valid reason on the claim form why you think this legalrequirement does not apply in your case.

A list of valid reasons is set out below. Some of them involve complex

legal matters and if you are uncertain as to whether the reasons apply in

your case you should get advice from trade union representative or yournearest Citizens Advice Bureau.

The reasons for not lodging a written grievance are:

You were not an employee of the employer (but were, for instance,a worker supplying services as a freelancer or contractor, or were a

job applicant).

Your claim is brought under a law that is not listed in Schedule 4 tothe Employment Act 2002 - the main example is a claim about abreach of contract (but you may still be penalised in terms of


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compensation if you do not complete the procedures).

Your employment has ended, you did not put your grievance inwriting to your employer before your employment ended, and it has

since become not reasonably practicable for you to do so, forexample if he or she has gone abroad.

It is not practicable for you to put your grievance in writing to youremployer within a reasonable period, for example because youremployer is a sole trader and is not available due to long-term

illness.

Your grievance is that you were dismissed or about disciplinaryaction that your employer says was taken on the grounds of your

conduct or capability (unless you disagree that those were thegrounds, or think that the action was unlawfully discriminatory).

You have reasonable grounds for believing that that putting yourgrievance in writing to your employer would result in significantthreat to you or your property or some other person or their

property.

You have been subject to harassment and have reasonable groundsto believe that putting the grievance in writing to your employer

would result in further harassment.

The grievance was put to your employer in writing by anappropriate representative (for example, an official of a recognised

trade union) on behalf of you and at least one other employee.

You have raised the grievance under an industry level grievanceprocedure that has been agreed between at least two employers or

an employers association and one or more independent trades

unions.

You have raised the matter that is the subject of your grievance asa protected disclosure under the public interest disclosure

(whistleblowing) provisions in the Employment Rights Act 1996.

Your claim raises an issue of national security. In certain circumstances the normal time limit for submitting a claim canbe extended by three months to allow you and your employer the chance

to sort out the dispute between you without involving the tribunal. These

circumstances are:

You have raised your grievance in writing with your employer andhave done so within the normal time limit.

You put your claim to the tribunal office within the normal timelimit but were turned down because you needed to put your

grievance in writing to your employer and either had not done so orhad not then allowed 28 days before putting in you claim. (Note

that in this case you must put your grievance in writing to your

employer within one month of the expiry of the normal time limit oryour claim will not be accepted in any circumstances).

Your claim is about a dismissal, or about disciplinary action thatyour employer says was on the grounds of your conduct orcapability, and at the time that the normal time limit expired, you

had reason to believe that a dismissal or disciplinary procedure wasstill in progress.

Special cases

If you are applying for a redundancy payment special time limits apply.


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These are complicated and you should seek advice from the RedundancyPayment Helpline on 0845 145 0004.

If your complaint is related to the National Minimum Wage you should

seek advice from the National Minimum Wage Helpline on 0845 6000678.

If you are dismissed because of:

trade union activities;membership or non-membership of a trade union;15

activities as a pension scheme trustee; being, or proposing to become an employee representative;being a shop worker or betting worker who refuses Sunday work;you can apply for an immediate re-employment order. This applicationmust be made within seven days of dismissal. You should seek advice

from your trade union representative, a CAB or the Employment Tribunal

Service immediately if you are in this position.

CostsUnless you (or your representative, if you have one) abuse the system by

acting unreasonably, or by pursuing a claim which has no reasonableprospect of success, you will not have to meet the respondents costs.

This is one of the ways in which the employment tribunals differ from theordinary civil courts.

The circumstances in which a claimant can be ordered to make a

payment towards a respondents costs (or preparation time, if therespondent is not legally represented) are where the claimant (or

claimants representative) acts vexatiously, abusively, disruptively orotherwise unreasonably, or brings proceeds with a misconceived claim.

Even then, when considering whether or not to make such an award, andif so the amount, the tribunal may take into account the claimants ability

to pay.

If a respondent (or respondents representative) acts unreasonably, he orshe can be required to pay for the claimants costs (or preparation time).

Unreasonable behaviour by a respondent could include making unjustifiedthreats e.g. threats that the claimant will be automatically required to

meet the respondents costs to try to persuade the claimant towithdraw the claim.

In 2003/04, costs awards were made in fewer than 0.1% of tribunal

cases. Only 998 awards were made and a third of these were madeagainst respondents, rather than claimants. The average award was

1,859. Awards are based on actual costs, reasonably incurred.

ANNEX - EXAMPLE LETTERS

Letter 1- Raising a grievance

Dear. Date..I am writing to tell you that I wish to raise a grievance.


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This action is being considered with regard to the followingcircumstances:

I am entitled to a hearing to discuss this matter. I am entitled, if I wish,to be accompanied by another work colleague or my trade union

representative. Please reply within (not more than 2 days of the date ofthis letter.

Yours sincerelySigned Employee

Letter 2 - Request for appeal hearing (grievance procedures)

Dear. Date..

On .. I was informed that the Company had decided to. based on my grievance of

.. raised on .I would like to appeal against this decision. I wish the following

information to be taken into account:

Please reply within x days fronm the date of this letter.

Yours sincerelySigned Employee

Letter 3 - Request for appeal hearing (dismissal or disciplinary action

procedures)

Dear. Date..On .. I was informed that . [insert organisation name]

was considering dismissing OR taking disciplinary action [insert proposedaction] against me.

I would like to appeal against this decision. I wish the followinginformation to be taken into account:

Yours sincerely

Signed Employeehi all,GRIEVANCE REDRESSAL PROCEDURE

AIMS & OBJECTIVES: To provide the employees an easy and readily accessible

machinery for prompt disposal of their day to day Grievances.

NATURE OF GRIEVANCES THAT FALL FOR REDRESSAL UNDER GRIEVANCEPROCEDURE: Complaints affecting one or more individual workers in respect of their


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wage, payment of overtime wages, bonus, railway fare (LTC/LLTC), leave, transfer,promotions, increments seniority, work assignment, working conditions, hours of

employment, output of workmen (work load), training and settlement of terminalbenefits.

DIFFERENT STAGES FOR REDRESSAL OF GRIEVANCES, PROVIDED FOR UNDER

COMPANYS GRIEVANCE REDRESSAL PROCEDURE:

FIRST STAGE (MINE/DEPARTMENT LEVEL): The aggrieved employee shall representhis grievance either in person or in writing to the Welfare Officer or any other Officer

in the Dept, which should be acknowledged. A written reply should be sent to theworker under the signature of the Manager/HoD within 10 days.

SECOND STAGE (AREA LEVEL): If the employee is not satisfied, he may request the

Manager/HoD to forward his Grievance to the Grievance Committee constituted atArea level which consists of

MANAGEMENT REPRESENTATIVES WORKMENREPRESENTATIVES

a) General Manager of the Areab) Manager/HOD

c) Area Personnel Dept. Head(Member Secretary)

a) One permanent member nominated by the Recognised Trade Union of the Area

OR in his absence, a representative duly authorised by the said Union.b) A representative of the Registered Trade Union OR a co-worker of the workers

choice.

The recommendations of the Grievance Committee shall be communicated to theconcerned workmen within 10 days. A copy of the minutes of the GrievanceCommittee meeting may be supplied to the Representative of the Recognised Union.

THIRD STAGE (APPELLATE AUTHORITY CORPORATE LEVEL): If the employee is not

satisfied with the reply given by the Grievance Committee at Area level, he canrepresent the matter to the Director (P,A&W) at Corporate level.

The representation will be disposed of within 15 days.

All the officers are requested to put in their best efforts to examine and redress the

genuine grievance submitted by workmen at different stages expeditiously.

I have sent this posting for everybody's reference,kindly give me your comments on

the same.Regards,

Sonit SinghSonit:

Consider:

At the FIRST STAGE (MINE/DEPARTMENT LEVEL, I would recommend that:.


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* Since the grievance was presented to the Welfare Officer, (s) he should be the oneto investigate and respond to the employee within 10 (? working or calendar) days.

If the Manager/HoD is involved, it may prejudice his position at the later stages.

* A complete investigation should be done at this time, including interviewing ofwitnesses and seeking relevant facts.

At the SECOND STAGE, I would recommend the addition of one more Unionrepresentative. In addition, a secret ballot as to the disposition of the grievance

(has merit/ does not have merit) should be taken. When a majority is reached - 4votes for either position - the counting will cease. This system precludes any

pressure on the management or union to vote for or against the employee. Thevote is not on the person, but the situation as represented by the facts.

THIRD STAGE (APPELLATE AUTHORITY CORPORATE LEVEL): The employee can

represent the matter to the Director (P,A&W) at Corporate level.

Who will be the employees advocate?

While these suggestions seems to encroach on Managements right to run the

business and direct the working forces, it also provides a level of good faith and fairdealing which I suspect will be appreciated by the employees.

Just my thoughts.

Bill Kuzmin

PALADIN Human Resource Consulting

Discipline is the key to success. TheodoreRoosevelt has said With self-discipline almosteverything is possible. Self discipline makesemployee realize what is required at work.Discipline can be positively related to


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performance. It is the bridge between goals andaccomplishments. Effective discipline should beaimed at the behavior, and not at the employeepersonality. This is because the reason fordiscipline is to improve performance rather thanpunishing the employee.

Factors necessary for effective disciplinary system include:

1. Training of supervisors is necessary: Supervisors and mangers need to be trained on whenand how discipline should be used. It is necessary to provide training on counseling skills asthese skills are used while dealing with problem employees. Moreover, discipline decisionstaken by trained supervisors are considered fair by both employees and managers.

2. Centralization of discipline: Centralized means that the discipline decisions should beuniform throughout the organization. The greater the uniformity, higher will be theeffectiveness of discipline procedure.

3. Impersonal discipline: Discipline should be handled impersonally. Managers should try tominimize the ill feelings arising out of the decisions by judging the offensive behavior andnot by judging the person. Managers should limit their emotional involvement in thedisciplinary sessions.

4. Review discipline decisions: The disciplinary decisions must be reviewed before beingimplemented. This will ensure uniformity and fairness of the system and will minimize thearbitrariness of the disciplinary system.

5. Notification of conduct that may result in discipline: Actions that lead to misconduct can belisted and documented so the employees are aware of such actions. This will unable themto claim that they have not been notified, in advance, regarding the same.

6. Information regarding penalties: The employer should define the penalties and otheractions like warnings, reprimands, discharge and dismissal well in advance. All these actionplans must be communicated to the employees.

7. Discipline shall be progressive: Discipline system should be progressive in nature. In aprogressive discipline approach the severity of actions to modify behavior increases withevery step as the employee continues to show improper behavior. The advantage of thisapproach is that employees cant take it for granted.

8. Documentation: Effective discipline requires accurate, written record keeping and writtennotification to the employees. Thus less chance will be left for the employee to say the hedid not know about the policy.

9. Discipline should be fair: The disciplinary decision should be fair enough for the employee.

Both over-penalization and under-penalization are considered to be unfair for the problememployee. Moreover, an internal fairness is to be maintained, that is, two employees whohave committed the same offense should be equally punished.

10. Discipline shall be flexible and consistent: The manager administering discipline mustconsider the effect of actions taken by other managers and of other actions taken in thepast. Consistent discipline helps to set limits and informs people about what they can andcannot do. Inconsistent discipline leads to confusion and uncertainty.


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11. Disciplinary action should be prompt: The effective discipline should be immediate. Thelonger time lag between the misconduct offense and the disciplinary action will result inineffectiveness of the discipline.

To maintain harmonious relations and promote industrial peace, a Code of Discipline has beenlaid down which applies to both public and private sector enterprises. It specifies variousobligations for the management and the workers with the objective of promoting cooperationbetween their representatives.

The basic objectives of Code of Discipline are to:Maintain peace and order in industry.

Promote constructive criticism at all levels of management and employment.

Avoid work stoppage in industry

Secure the settlement of disputes and grievances by a mutually agreed procedure

Avoiding litigations

Facilitate a free growth of trade unions

Eliminate all forms of coercion, intimidation and violations of rules and regulations governing industrial relations.

The Code is based on the following principles:

There should be no strike or lockout without prior notice.

No unilateral action should be taken in connection with any industrial matter.

Employees should follow go slow tactics

No deliberate damage should be caused to a plant or property

Acts of violations, intimidation and coercion should not be resorted

The existing machinery for the settlement of disputes should be utilized.

Actions that disturb cordial relationships should be avoided.

To ensure better discipline in industry, management and unions agree on not indulging into

various actions. These actions can b summarized as follows:

Management and Union(s) agree

that no unilateral action should be taken in connection with any industrial matter and

that should be settled at appropriate level

that the existing machinery for settlement of disputes should be utilized with the
http://industrialrelations.naukrihub.com/http://industrialrelations.naukrihub.com/


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utmost efficiency

that there should be no strike or lock-out without prior notice

that neither party will have recourse to coercion, intimidation, victimization or go slowtactics

that they will avoid litigation, sit-down and stay-in strikes and lock-outs

that they will promote constructive co-operation between their representatives at all

levels and as between workers themselves

that they will establish upon a mutually agreed grievance procedure which will ensure aspeedy and full investigation leading to settlement;

that they will abide by various stages in the grievance procedure and take no arbitrary

action which would by-pass this procedure; and

Management Agrees

not to increase work-loads unless agreed upon or settled otherwise

not to support or encourage any unfair labor practice such as discrimination and

victimization of any employee

to take prompt action for settlement of grievances and implementation of settlements,awards, decision and orders

to take appropriate disciplinary action against its officers and members in cases where

enquiries reveal that they were responsible for precipitate action by workers leading toindiscipline

Union agrees

not to engage in any form of physical duress

not to permit demonstrations which are not peaceful

that their members will not engage or cause other employees to engage in any union

activity during working hours

to discourage unfair labor practices such as negligence of duty, damage to property and

insubordination

to take prompt action to implement awards, agreements, settlements and decisions

Employee Discipline Checklist for Supervisors


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Properly applied, formal corrective discipline can help the supervisor correct troublesome

behavior problems of his or her employees and maintain their respect. Mishandled, it's likely

to result in highly undesirable by-products such as poor attitudes, increased numbers of

written grievances on seemingly unrelated matters, poor union-management relations and

even restriction of output.

Maximum effectiveness is achieved with a minimum of bad side effects when formal

corrective discipline (reprimands, written warnings, disciplinary layoffs) is applied sparingly to

the few employees who fail to respond to proper training, extensive counseling and informal

corrective efforts. Listed below are some questions which the supervisor should ask himself

when deciding whether or not to reprimand or penalize an employee.

1. In my judgment, would a discussion with the employee be a more effective way of getting

him to correct his behavior than a formal reprimand or penalty? For example, if the

misconduct is an isolated instance of misbehavior by a usually reliable employee, a

discussion is ordinarily more effective than a penalty or reprimand.

2. Or, is the misconduct part of a pattern of repeated offenses which I have already tried

unsuccessfully to correct by methods short of a formal reprimand or penalty? If so, formal

discipline MAY be in order.

3. Has similar misconduct on the part of the employee or other employees been tolerated

(ignored or condoned) in the past by management? If so, have employees been put on

notice that such misconduct (for example, lining up early at the time clock or taking

excessive relief time) will no longer be tolerated, and has an effort, short of formal discipline,

been made to correct the problem?

4. Have I asked the employee for his explanation and permitted him to tell fully his side of the

story?

5. Have I checked his explanation before indicating to him my belief that he was guilty of

misconduct?

6. In discussing the matter with the employee, have I taken a calm, courteous but firm

approach? All employees, even those guilty of misconduct, are entitled to be treated with

courtesy and respect.

7. Are there any aspects of the case, which, if brought to light in the processing of a

grievance before an impartial arbitrator or in a legal proceeding, would reflect unfavorably on

the character, judgment or conduct of any member of management? If so, this factor should

be carefully considered when deciding whether or not formal disciplinary action is to be

taken.


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8. If formal disciplinary action is taken, can management prove, beyond a reasonable doubt,

that the employee is guilty in the event a grievance is filed? If not, formal discipline should

not be taken. Corrective action should be limited to a discussion with the employee. The

following items may be helpful in sustaining management's burden of proof:

--an admission of guilt by the employee

--misconduct witnessed by one or more supervisory employees

--physical evidence such as a scrapped or damaged part or tool, beer or whiskey bottle, etc.

(Such evidence should be retained until any grievance is resolved.)

--plant security reports and testimony

--notes recording interviews with other employees concerning the incident

9. Have I made notes on all the facts?

--employee's own explanation

--description of the act of misconduct and events leading up to it

--times, places, dates, names of witnesses, both supervisory and non-supervisory

--comments by witnesses

--comments by union representative, if called

10. If formal discipline is contemplated, have I checked the employee's prior discipline,

attendance and tardiness record to determine the proper extent of penalty? Have I fully

taken into account any period of good conduct since the prior disciplinary action?

11. In my own mind, is the penalty fair, and is it the most effective way of bringing about the

desired correction in the employee's behavior?

12. have I taken the time to explain fully to the employee the reason for the penalty and what

will be expected of him in the future? Grievances protesting reprimands and penalites

sometimes are filed because the supervisor has failed to adequately explain to the employee

why he is being penalized. When the penalty is being issued, the supervisor should try to get

a commitment from the employee that he will make an effort to correct his behavior. For

example, in a situation involving absence or tardiness, the employee's record should be

reviewed with him and the number of times he has been absent or late pointed out to him. If

this is done the employee may understand that he is not being penalized for a single

instance of absence or tardiness.


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13. Have I considered reviewing disciplinary issues with the union representative and trying

to enlist his help in dealing with the problem before resorting to formal discipline? Doing so

can put the union representative in a position, in event of formal discipline, to remind the

employee that he had been warned about his behavior.

14. Have I complied with the union representation provisions of the union contract?

--Was the reason for the penalty stated briefly and accurately on the penalty slip?

--If the employee requested his union representative, was the representative called promptly

and the employee furnished represenation before he left the plant?

--Was the employee notified in writing of the reason for the warning, reprimand, suspension

or dismissal?

--Was the union representative notified in writing in accordance with the union agreement?

Discipline in the workplace. It sounds almost like an oxymoron, doesn't it? After all, discipline issomething used with children, right? And hopefully, you've got all adults working for you. So thenotion of conducting a discipline session makes everyone feel uncomfortable - as though you aresomehow overstepping your bounds.

That discomfort you're feeling can make you go easy on someone ("Oh, it more than likely won'tcrop up again so I'm not going to do anything about it") or go too far ("A buyer complained thatshe was on hold too long so I'm writing you up!")

Neither option can be ideal for you, your association or your employee. You do need to disciplinean employee whose actions have crossed the line . . . however you need to accomplish itproperly.

First things first: recognize what discipline actually means. It is a follow-up to coaching. You do itbecause you have already given corrective feedback and suggested ways to correct the problem-and the employee in question has failed to heed your advice. Discipline is a way of declaring,"That correction needs to occur. If it doesn't, there will be consequences." It will sound basic, yetthe truth is it's easy to make mistakes in this arena which a) result in an ineffective session, after

which nothing changes, b) strain your relationship with your employee, c) anger or upset him orher to the point of much worse performance (this, in turn, will lessen morale), and/or d) lead tolegal action against you or your firm.

Unpleasant as it can be, you have to address employee infractions. Here's why.

The initial as well as most obvious reason can be simply that: You expect your employee to dothe right thing. You would like him to stop being rude to patrons or missing major deadlines orshowing up two hours late each Monday . . . whatever. (Yes, of course, the present rule-breaker


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may be a woman, but we are trying to steer clear of that confusing he/she/his/her conundrum.Please bear with us!)

Conduct a discipline session ideally and you increase the likelihood that your employee will ceasethis offending behavior and improve dramatically.

The other reason not to let things slide can be a bit more complicated. Suppose your employee ismerely, well, a lost cause? Suppose you know in deep down that he's not going to ever developinto an intuitive, innovative "happy corporate citizen?"

That's all the more grounds to discipline him. Perfectly-structured, properly documented disciplinesessions - with all your I's dotted and T's crossed - may be half of the battle of getting him out thedoor . . . with a clear conscience and tiny odds that a disgruntled employee will pursue litigation.

Conducting effective discipline sessions are both an art and a science. We'll teach youwhere you can compromise . . . and where you can't.

Basically, there are three forms of disciplinary action:

1. You can give a written warning2. You can suspend an employee without pay for a designated span of time3. You can dismiss the employee

A part of this "art" we mentioned above involves understanding which type of discipline sessionmight be appropriate when. The other part involves determining what you can say throughout asession. You do have some leeway depending on the particulars of your employee and also hisbreach. Every case is different, every person is distinct, and most every workplace culture isunique . . . so it's hard to submit carved-in-stone rules.

However, some basic guidelines might be welcome, correct?

Not to worry. Dr. Joanne G. Sujansky, CSP (Certified Speaking Professional, CEO, as well asFounder of KEYGroup) offers them. Her study "How to Discipline an Employee - EmployeeDiscipline That Works,"provides real-life examples of discipline cases and clearly pinpoints thecomponents that determine what should be done - both type (which out of the four opportunitiesmight be ideal and why) as well as tone (what to say in a session and how to say it).

Here are a few nagging issues Dr. Sujansky's report can answer:

Are there ever occasions when it is proper to permit an infraction to slide? If so, when?

What infractions call for immediate action - for example removal from the workplace andalso, under more serious circumstances, immediate termination?

How do I proceed if I find out during the session that this employee is dealing withpersonal problems - such as alcoholism, drug abuse or domestic violence?

What if an employee breaks a "common sense" rule that seems obvious to me but is notcovered in the employee handbook?

Am I truly justified in disciplining him? I've heard that discipline should be conducted inprivate to spare the employee's pride. But then I've also heard that a witness shouldalways be there for legal reasons. Which is right?

Without a doubt, few employee discipline matters are in fact black and white. Dr. Sujanskyaddresses them head on:


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The reason it's critically important to put everything in writing. (The report even supplies a"documentation template" you can use.)

That one phrase you should never say during a discipline session.

Three things never to put in writing.

What to do if an employee refuses to answer a question.

What to do if an employee asks to resign over a discipline session.

When to use the infamous "final caution" - and why it has to actually be final.

The company has adopted a progressive discipline policy to identify and address employee and employmentrelated problems. This policy applies to any and all employee conduct that the company, in its sole discretion,determines must be addressed by discipline. Of course, no discipline policy can be expected to address each andevery situation requiring corrective action that may arise in the workplace. Therefore, the Company takes acomprehensive approach regarding discipline and will attempt to consider all relevant factors before makingdecisions regarding discipline.

Most often, employee conduct that warrants discipline results from unacceptable behavior, poor performance orviolation of the companys policies, practices or procedures. However, discipline may be issued for conduct thatfalls outside of those identified areas. Equally important, the company need not resort to progressive discipline, butmay take whatever action it deems necessary to address the issue at hand. This may mean that more or lesssevere discipline is imposed in a given situation. Likewise, some company polices like sexual harassment andattendance, contain specific discipline procedures.

Progressive discipline may be issued on employees even when the conduct that leads to more serious discipline isnot the same that resulted in less sever discipline. That is, violations of different rules shall be considered the sameas repeated violations of the same rule for purposes of progressive action.

Probationary employees are held to the highest standards for behavior and job performance. Progressivediscipline is the exception

Grievance Handling Guide 206

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