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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 if
you 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 and
employee.
All employers must now have minimum procedures for resolving
grievances, disciplinary action and dismissal. Many employers may
already have procedures in place that go further. In which case there
would 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 of
employment 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 to
employees and tell you to whom you should go if you have a grievance.
Under the new Regulations an employer and an employee must in certain
circumstances, 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 your
employer 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 decide
whether 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 to
50%. 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 other
workers 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 your trade union representative or local Citizens Advice Bureau
www.adviceguide.org.uk. You can also get advice from Acas: at
www.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 and
grievance procedures and to tell you what they are.
Before using these procedures you and your employer should attempt to sort problems out informally where possible.
GRIEVANCE PROCEDURE
You are now required to send your employer a written statement of
your grievance. Your employer must then arrange a meeting to discuss
it, and then tell you the decision. You have a right to appeal against
that decision at a further meeting and 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 will need to
make 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
employment tribunal based on a grievance unless you have put your
grievance to the employer in writing and then allowed 28 days to
pass. This rule does not apply if your grievance is about dismissal, or
about disciplinary action that you agree was taken against you on
conduct or capability grounds (unless you think the action involved
unlawful discrimination against you).
DISCIPLINARY ACTION AND DISMISSAL PROCEDURE
If your employer is contemplating taking disciplinary action against
you on conduct or capability grounds, or dismissing you, the
responsibility lies with him or her to start a dismissal or disciplinary
procedure.
Your employer is required to send you a written statement of his or
her 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 further
meeting. 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 an
employment tribunal. Before doing so you may wish to take further
advice, possibly from your union representative if you are a union
member or local CAB.
THE MEETINGS
You have a right to be accompanied to any meetings to discuss your
grievance, and any meetings about dismissal or disciplinary action
which 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 a
claim form, available from Jobcentres, Law Centres and Citizens
Advice Bureaux, or online at www.employmenttribunals.gov.uk. You
should note that you will generally need to do this within a specified
time limit, which can be as short as three months beginning with the
day your employment ended or when the matter you are complaining
about happened. However, in certain circumstances this time limit
will be extended if you complete the first step of the statutory
procedure.
CHAPTER 1 - HOW TO RAISE A GRIEVANCE
Grievance procedures
Grievance procedures are procedures which enable you to raise any
concerns you have about your job with management. These concerns
could be about the work itself, your working conditions or about the
people 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 to
raise 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 should
go to the next most senior person. Try to get the problem resolved
informally at this stage.
Although these first discussions are informal, you may find it helpful to
keep 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 if
the 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 employment
tribunal that your employer has failed to honour your statutory
employment rights. (This does not apply, though, if your grievance
concerns dismissal, or disciplinary action short of dismissal that you agree
was taken on conduct or capability grounds. See Dismissal and
Disciplinary Procedures for more details.)
If you do have to take matters further, the grievance procedure has three
steps:
The written statement
You must set out your grievance in writing and send a copy to your
employer. 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 union
representative. An example of a written statement is on page 16.
The meeting
When your employer has read your written statement he or she must
invite 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 not
delay for an unreasonable amount of 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 at
a time and place that are reasonable for you and anyone accompanying
you. 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 employer
must 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 dont
know, ask your employer to introduce them. Your employer should
explain how the meeting will be held, who will speak and when. Your
employer should give you an opportunity to set your case out calmly and
clearly, and, if appropriate, to explain what you have done to try to
resolve the problem informally. Be proactive. Use the opportunity to
make some suggestions as to how the problem might be resolved. This
will 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
decision, you have the right to appeal, and your employer should inform
you of this.
The Appeal
If you feel that your grievance has not been satisfactorily dealt with, you
should 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 discuss
this. The same rules apply to this as to the original meeting. It must be
at 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 has
decided. 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). But
discuss 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 pursue
it using a shorter, two step procedure, known as the modified procedure,
if:
You and your employer agree in writing to use the modified
procedure; and
Your employer did not know about the grievance or the procedure
was 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 procedures
do not apply
You have left the employment before the grievance procedure has
commenced and it is not reasonably practicable for you to write a
written statement of grievance.
You have reasonable grounds for believing that that putting your
grievance in writing to your employer would result in significant
threat to you or your property or some other person or their
property.
You have been subject to harassment and have reasonable grounds
to believe that putting the grievance in writing to your employer
would result in further harassment.
You do not need to go through the procedures if the grievance is a
collective 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 in
writing 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 in
writing to your employer within a reasonable period, for example
because your employer is a sole trader and is not available due to
long-term illness.
Finally there will be circumstances in which it is just not possible to
complete the procedures, for example if one of the parties leaves
the country or becomes seriously ill.
CHAPTER 2 - DISMISSAL AND DISCIPLINARY ACTION
If your employer is concerned about your conduct or capability, he or she
should try to sort things out with you before considering disciplinary
action or dismissal.
The new statutory minimum procedures come into play when the
employer 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 of
employment, the new statutory minimum procedures do not change
things. They will need to be followed in addition to your employers
previous procedures. Not to do so may count as unreasonable behaviour.
It would help to make a short note of any discussions you have with
management 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 on
grounds 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 will
normally find the dismissal to be automatically unfair and increase
compensation; or
2] takes other disciplinary action, short of dismissal, against you and you
subsequently make a successful employment tribunal claim about that
action, any money awarded to you is likely to be increased by between
10% and 50% (assuming the failure to follow the procedures was not
your 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 65
or, if different, the normal retirement age for your job.
Like the grievance procedure, the discipline and dismissal procedure has
three steps.
The written statement
Your 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
your employers position. If you have trouble understanding it, discuss it
with 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 invite
you 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 the
meeting 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 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 to the meeting.
You have a duty to 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 was not foreseen when the meeting was arranged the employer
must arrange another meeting and you must 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 dont
know, ask your employer to introduce them. Your employer should
explain how the meeting will be held, who will speak and when. Your
employer 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 of
the case. Be concise. The employer may dismiss or take the disciplinary
action against you at this point.
The appeal meeting
After 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 to
complete 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 meeting
must 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 to
the meeting. You have a duty to attend.
If for some reason you or the person you have chosen to come with you
cannot get there for a reason which was not foreseen when the meeting
was arranged, the employer must arrange another meeting and you must
attend 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 are
still 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?
You do not need to start a grievance procedure over a dismissal in any
circumstances (unless you are complaining about constructive dismissal
i.e. you are claiming that you were forced to resign because of your
employers behaviour).
You can start a grievance procedure about disciplinary action if:
you disagree with your employer that the action was taken on
conduct or capability grounds; and/or
you consider that the action constituted unlawful discrimination
against you.
In either of these circumstances, you should put your grievance to the
employer in writing. Provided you do this before the appeal meeting under
the 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 investigation
of the circumstances is nearly always unfair. However there are some
very rare cases involving gross misconduct where tribunals have ruled
that the dismissal was fair because the circumstances made an
investigation unnecessary. In these cases the Regulations allow the
employer to dismiss first and then operate a two-step procedure going
straight from the written statement to the appeal without holding a
hearing 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 dismiss
someone or take disciplinary action without going through the
procedures. These are:
If the action your employer takes is to give you a verbal or written
warning or suspend you on full pay. [If you do not agree with such
action you can raise a grievance].
If there are reasonable grounds for believing that doing so would
result in significant threat to his/her person or property or some
other person or their property.
Collective Issues, where discussion between management and
employee representatives is the best way of taking matters
forward. An example is when an employer lays off a group of staff
and 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 employee
representatives in relation to collective redundancies.
When employees are dismissed whilst taking industrial action. (In
the case of lawful, officially organised action, special arrangements
apply.)
When it is not possible for employment to continue, for example
when a factory burns down and it is no longer practicable for the
employer to employ anyone or where it becomes illegal to employ a
particular employee.
It is not practicable for the procedures to be complied with within a
reasonable period.
CHAPTER 3 - APPLYING TO AN EMPLOYMENT TRIBUNAL
Employment Tribunals hear claims about matters to do with employment
such as unfair dismissal. The Tribunals are courts, but have less formal
procedures than the ordinary civil courts. Preliminary hearings, known as
Pre-Hearing Reviews (PHRs), usually take place before a legally-qualified
chairman on his or her own. Full hearings, which decide outstanding
issues 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 will
have a background in management and the other will have experience of
representing employees. If you would like more information, you can use
the Employment Tribunal public enquiry line on 0845 795 9775.
Time limits for making an application
There are time limits to follow when making a claim to a tribunal. In
unfair dismissal cases, this is usually three months from the date your
employment 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, the
tribunal will not normally accept it. Though, in certain circumstances, the
normal time limit will be extended for submitting tribunal claims, to allow
extra time for workplace discussions to continue, without obliging
employees to submit premature applications in order to meet deadlines.
It should be noted that the existing discretion of the tribunal to extend a
time 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) is
unaffected 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 grievance
procedure applies in your case (see paragraph below).
If your claim is based on a grievance with your employer or former
employer, 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 at
least 28 days to pass before putting in your claim to the tribunal
office; or
Give a valid reason on the claim form why you think this legal
requirement 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 your
nearest 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 to
the Employment Act 2002 - the main example is a claim about a
breach of contract (but you may still be penalised in terms of
compensation if you do not complete the procedures).
Your employment has ended, you did not put your grievance in
writing 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 practicable for you to put your grievance in writing to your
employer within a reasonable period, for example because your
employer is a sole trader and is not available due to long-term
illness.
Your grievance is that you were dismissed or about disciplinary
action that your employer says was taken on the grounds of your
conduct or capability (unless you disagree that those were the
grounds, or think that the action was unlawfully discriminatory).
You have reasonable grounds for believing that that putting your
grievance in writing to your employer would result in significant
threat to you or your property or some other person or their
property.
You have been subject to harassment and have reasonable grounds
to 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 an
appropriate 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 grievance
procedure 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 as
a 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 can
be 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 and
have done so within the normal time limit.
You put your claim to the tribunal office within the normal time
limit but were turned down because you needed to put your
grievance in writing to your employer and either had not done so or
had 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 or
your claim will not be accepted in any circumstances).
Your claim is about a dismissal, or about disciplinary action that
your employer says was on the grounds of your conduct or
capability, and at the time that the normal time limit expired, you
had reason to believe that a dismissal or disciplinary procedure was
still in progress.
Special cases
If you are applying for a redundancy payment special time limits apply.
These are complicated and you should seek advice from the Redundancy
Payment 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 600
0678.
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 application
must 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.
Costs
Unless you (or your representative, if you have one) abuse the system by
acting unreasonably, or by pursuing a claim which has no reasonable
prospect of success, you will not have to meet the respondents costs.
This is one of the ways in which the employment tribunals differ from the
ordinary civil courts.
The circumstances in which a claimant can be ordered to make a
payment towards a respondents costs (or preparation time, if the
respondent is not legally represented) are where the claimant (or
claimants representative) acts vexatiously, abusively, disruptively or
otherwise unreasonably, or brings proceeds with a misconceived claim.
Even then, when considering whether or not to make such an award, and
if so the amount, the tribunal may take into account the claimants ability
to pay.
If a respondent (or respondents representative) acts unreasonably, he or
she can be required to pay for the claimants costs (or preparation time).
Unreasonable behaviour by a respondent could include making unjustified
threats e.g. threats that the claimant will be automatically required to
meet the respondents costs to try to persuade the claimant to
withdraw 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 made
against respondents, rather than claimants. The average award was
ฃ1,859. 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.
This action is being considered with regard to the following
circumstances:
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 28) days of the date of
this letter.
Yours sincerely
Signed 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 sincerely
Signed 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 proposed
action] against me.
I would like to appeal against this decision. I wish the following
information to be taken into account:
Yours sincerely
Signed Employee
From India, Coimbatore
733RESOLVING 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 if
you 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 and
employee.
All employers must now have minimum procedures for resolving
grievances, disciplinary action and dismissal. Many employers may
already have procedures in place that go further. In which case there
would 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 of
employment 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 to
employees and tell you to whom you should go if you have a grievance.
Under the new Regulations an employer and an employee must in certain
circumstances, 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 your
employer 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 decide
whether 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 to
50%. 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 other
workers 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 your trade union representative or local Citizens Advice Bureau
www.adviceguide.org.uk. You can also get advice from Acas: at
www.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 and
grievance procedures and to tell you what they are.
Before using these procedures you and your employer should attempt to sort problems out informally where possible.
GRIEVANCE PROCEDURE
You are now required to send your employer a written statement of
your grievance. Your employer must then arrange a meeting to discuss
it, and then tell you the decision. You have a right to appeal against
that decision at a further meeting and 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 will need to
make 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
employment tribunal based on a grievance unless you have put your
grievance to the employer in writing and then allowed 28 days to
pass. This rule does not apply if your grievance is about dismissal, or
about disciplinary action that you agree was taken against you on
conduct or capability grounds (unless you think the action involved
unlawful discrimination against you).
DISCIPLINARY ACTION AND DISMISSAL PROCEDURE
If your employer is contemplating taking disciplinary action against
you on conduct or capability grounds, or dismissing you, the
responsibility lies with him or her to start a dismissal or disciplinary
procedure.
Your employer is required to send you a written statement of his or
her 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 further
meeting. 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 an
employment tribunal. Before doing so you may wish to take further
advice, possibly from your union representative if you are a union
member or local CAB.
THE MEETINGS
You have a right to be accompanied to any meetings to discuss your
grievance, and any meetings about dismissal or disciplinary action
which 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 a
claim form, available from Jobcentres, Law Centres and Citizens
Advice Bureaux, or online at www.employmenttribunals.gov.uk. You
should note that you will generally need to do this within a specified
time limit, which can be as short as three months beginning with the
day your employment ended or when the matter you are complaining
about happened. However, in certain circumstances this time limit
will be extended if you complete the first step of the statutory
procedure.
CHAPTER 1 - HOW TO RAISE A GRIEVANCE
Grievance procedures
Grievance procedures are procedures which enable you to raise any
concerns you have about your job with management. These concerns
could be about the work itself, your working conditions or about the
people 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 to
raise 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 should
go to the next most senior person. Try to get the problem resolved
informally at this stage.
Although these first discussions are informal, you may find it helpful to
keep 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 if
the 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 employment
tribunal that your employer has failed to honour your statutory
employment rights. (This does not apply, though, if your grievance
concerns dismissal, or disciplinary action short of dismissal that you agree
was taken on conduct or capability grounds. See Dismissal and
Disciplinary Procedures for more details.)
If you do have to take matters further, the grievance procedure has three
steps:
The written statement
You must set out your grievance in writing and send a copy to your
employer. 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 union
representative. An example of a written statement is on page 16.
The meeting
When your employer has read your written statement he or she must
invite 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 not
delay for an unreasonable amount of 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 at
a time and place that are reasonable for you and anyone accompanying
you. 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 employer
must 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 dont
know, ask your employer to introduce them. Your employer should
explain how the meeting will be held, who will speak and when. Your
employer should give you an opportunity to set your case out calmly and
clearly, and, if appropriate, to explain what you have done to try to
resolve the problem informally. Be proactive. Use the opportunity to
make some suggestions as to how the problem might be resolved. This
will 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
decision, you have the right to appeal, and your employer should inform
you of this.
The Appeal
If you feel that your grievance has not been satisfactorily dealt with, you
should 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 discuss
this. The same rules apply to this as to the original meeting. It must be
at 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 has
decided. 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). But
discuss 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 pursue
it using a shorter, two step procedure, known as the modified procedure,
if:
You and your employer agree in writing to use the modified
procedure; and
Your employer did not know about the grievance or the procedure
was 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 procedures
do not apply
You have left the employment before the grievance procedure has
commenced and it is not reasonably practicable for you to write a
written statement of grievance.
You have reasonable grounds for believing that that putting your
grievance in writing to your employer would result in significant
threat to you or your property or some other person or their
property.
You have been subject to harassment and have reasonable grounds
to believe that putting the grievance in writing to your employer
would result in further harassment.
You do not need to go through the procedures if the grievance is a
collective 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 in
writing 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 in
writing to your employer within a reasonable period, for example
because your employer is a sole trader and is not available due to
long-term illness.
Finally there will be circumstances in which it is just not possible to
complete the procedures, for example if one of the parties leaves
the country or becomes seriously ill.
CHAPTER 2 - DISMISSAL AND DISCIPLINARY ACTION
If your employer is concerned about your conduct or capability, he or she
should try to sort things out with you before considering disciplinary
action or dismissal.
The new statutory minimum procedures come into play when the
employer 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 of
employment, the new statutory minimum procedures do not change
things. They will need to be followed in addition to your employers
previous procedures. Not to do so may count as unreasonable behaviour.
It would help to make a short note of any discussions you have with
management 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 on
grounds 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 will
normally find the dismissal to be automatically unfair and increase
compensation; or
2] takes other disciplinary action, short of dismissal, against you and you
subsequently make a successful employment tribunal claim about that
action, any money awarded to you is likely to be increased by between
10% and 50% (assuming the failure to follow the procedures was not
your 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 65
or, if different, the normal retirement age for your job.
Like the grievance procedure, the discipline and dismissal procedure has
three steps.
The written statement
Your 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
your employers position. If you have trouble understanding it, discuss it
with 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 invite
you 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 the
meeting 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 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 to the meeting.
You have a duty to 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 was not foreseen when the meeting was arranged the employer
must arrange another meeting and you must 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 dont
know, ask your employer to introduce them. Your employer should
explain how the meeting will be held, who will speak and when. Your
employer 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 of
the case. Be concise. The employer may dismiss or take the disciplinary
action against you at this point.
The appeal meeting
After 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 to
complete 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 meeting
must 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 to
the meeting. You have a duty to attend.
If for some reason you or the person you have chosen to come with you
cannot get there for a reason which was not foreseen when the meeting
was arranged, the employer must arrange another meeting and you must
attend 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 are
still 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?
You do not need to start a grievance procedure over a dismissal in any
circumstances (unless you are complaining about constructive dismissal
i.e. you are claiming that you were forced to resign because of your
employers behaviour).
You can start a grievance procedure about disciplinary action if:
you disagree with your employer that the action was taken on
conduct or capability grounds; and/or
you consider that the action constituted unlawful discrimination
against you.
In either of these circumstances, you should put your grievance to the
employer in writing. Provided you do this before the appeal meeting under
the 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 investigation
of the circumstances is nearly always unfair. However there are some
very rare cases involving gross misconduct where tribunals have ruled
that the dismissal was fair because the circumstances made an
investigation unnecessary. In these cases the Regulations allow the
employer to dismiss first and then operate a two-step procedure going
straight from the written statement to the appeal without holding a
hearing 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 dismiss
someone or take disciplinary action without going through the
procedures. These are:
If the action your employer takes is to give you a verbal or written
warning or suspend you on full pay. [If you do not agree with such
action you can raise a grievance].
If there are reasonable grounds for believing that doing so would
result in significant threat to his/her person or property or some
other person or their property.
Collective Issues, where discussion between management and
employee representatives is the best way of taking matters
forward. An example is when an employer lays off a group of staff
and 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 employee
representatives in relation to collective redundancies.
When employees are dismissed whilst taking industrial action. (In
the case of lawful, officially organised action, special arrangements
apply.)
When it is not possible for employment to continue, for example
when a factory burns down and it is no longer practicable for the
employer to employ anyone or where it becomes illegal to employ a
particular employee.
It is not practicable for the procedures to be complied with within a
reasonable period.
CHAPTER 3 - APPLYING TO AN EMPLOYMENT TRIBUNAL
Employment Tribunals hear claims about matters to do with employment
such as unfair dismissal. The Tribunals are courts, but have less formal
procedures than the ordinary civil courts. Preliminary hearings, known as
Pre-Hearing Reviews (PHRs), usually take place before a legally-qualified
chairman on his or her own. Full hearings, which decide outstanding
issues 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 will
have a background in management and the other will have experience of
representing employees. If you would like more information, you can use
the Employment Tribunal public enquiry line on 0845 795 9775.
Time limits for making an application
There are time limits to follow when making a claim to a tribunal. In
unfair dismissal cases, this is usually three months from the date your
employment 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, the
tribunal will not normally accept it. Though, in certain circumstances, the
normal time limit will be extended for submitting tribunal claims, to allow
extra time for workplace discussions to continue, without obliging
employees to submit premature applications in order to meet deadlines.
It should be noted that the existing discretion of the tribunal to extend a
time 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) is
unaffected 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 grievance
procedure applies in your case (see paragraph below).
If your claim is based on a grievance with your employer or former
employer, 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 at
least 28 days to pass before putting in your claim to the tribunal
office; or
Give a valid reason on the claim form why you think this legal
requirement 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 your
nearest 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 to
the Employment Act 2002 - the main example is a claim about a
breach of contract (but you may still be penalised in terms of
compensation if you do not complete the procedures).
Your employment has ended, you did not put your grievance in
writing 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 practicable for you to put your grievance in writing to your
employer within a reasonable period, for example because your
employer is a sole trader and is not available due to long-term
illness.
Your grievance is that you were dismissed or about disciplinary
action that your employer says was taken on the grounds of your
conduct or capability (unless you disagree that those were the
grounds, or think that the action was unlawfully discriminatory).
You have reasonable grounds for believing that that putting your
grievance in writing to your employer would result in significant
threat to you or your property or some other person or their
property.
You have been subject to harassment and have reasonable grounds
to 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 an
appropriate 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 grievance
procedure 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 as
a 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 can
be 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 and
have done so within the normal time limit.
You put your claim to the tribunal office within the normal time
limit but were turned down because you needed to put your
grievance in writing to your employer and either had not done so or
had 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 or
your claim will not be accepted in any circumstances).
Your claim is about a dismissal, or about disciplinary action that
your employer says was on the grounds of your conduct or
capability, and at the time that the normal time limit expired, you
had reason to believe that a dismissal or disciplinary procedure was
still in progress.
Special cases
If you are applying for a redundancy payment special time limits apply.
These are complicated and you should seek advice from the Redundancy
Payment 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 600
0678.
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 application
must 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.
Costs
Unless you (or your representative, if you have one) abuse the system by
acting unreasonably, or by pursuing a claim which has no reasonable
prospect of success, you will not have to meet the respondents costs.
This is one of the ways in which the employment tribunals differ from the
ordinary civil courts.
The circumstances in which a claimant can be ordered to make a
payment towards a respondents costs (or preparation time, if the
respondent is not legally represented) are where the claimant (or
claimants representative) acts vexatiously, abusively, disruptively or
otherwise unreasonably, or brings proceeds with a misconceived claim.
Even then, when considering whether or not to make such an award, and
if so the amount, the tribunal may take into account the claimants ability
to pay.
If a respondent (or respondents representative) acts unreasonably, he or
she can be required to pay for the claimants costs (or preparation time).
Unreasonable behaviour by a respondent could include making unjustified
threats e.g. threats that the claimant will be automatically required to
meet the respondents costs to try to persuade the claimant to
withdraw 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 made
against respondents, rather than claimants. The average award was
ฃ1,859. 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.
This action is being considered with regard to the following
circumstances:
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 28) days of the date of
this letter.
Yours sincerely
Signed 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 sincerely
Signed 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 proposed
action] against me.
I would like to appeal against this decision. I wish the following
information to be taken into account:
Yours sincerely
Signed Employee
From India, Coimbatore
Thank you so much for such an informative PDF. can you also differentiate between complaints and grievance.What is the difference between the two and what is complaint procedure?
From India, Calcutta
From India, Calcutta
Hi is the same applicable is india also??? Pl guide as to is there any similar guidelines there in india
From India, Bangalore
From India, Bangalore
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Employee reference policy.doc
Employee Grievance Redressal.ppt