Purpose
A grievance procedure provides employees with a fair, accessible and structured process through which workplace concerns can be raised, considered and resolved.
The objective should be to resolve concerns as early and as close to their source as reasonably possible, while allowing unresolved matters to progress through increasingly formal levels of review.
A grievance procedure should promote:
- Fairness and consistency
- Open communication
- Prompt resolution
- Proper investigation
- Employee participation
- Appropriate representation
- Written records where required
- Protection against victimisation or retaliation
- Escalation where a grievance remains unresolved
The procedure should be simple enough for employees to understand and use, while providing management with a clear framework for responding appropriately.
The E3 five-stage grievance process
Raise → Record → Escalate → Investigate → Final internal review
A grievance should ordinarily begin at the lowest appropriate management level and progress only where the matter remains unresolved.
The exact process, responsible persons and timeframes should be adapted to the employer's organisational structure, employment policies, collective agreements and the nature of the grievance.
01RaiseInformal GrievanceExpand
Raise the concern
What happens
- The employee raises the grievance verbally with their immediate supervisor or appropriate manager.
- Listen carefully to the employee.
- Give the employee a reasonable opportunity to explain the concern.
- Establish the relevant facts.
- Consider whether immediate intervention is possible.
- Attempt to resolve the matter fairly and promptly.
- Record the outcome where appropriate.
Who is involved
The employee and their immediate supervisor or appropriate manager.
What should be recorded
- The concern raised
- The outcome of the informal intervention where appropriate
Possible outcome
Where the grievance is resolved, the matter may be closed and the outcome recorded.
Next step
Where the employee remains dissatisfied, or where the nature of the complaint requires a more formal process, the matter proceeds to Step 2.
E3 recommended procedural target
Prompt intervention, ordinarily within 24 hours where reasonably practicable.
This is a procedural example, not a statutory deadline. Targets may vary according to the employer's grievance policy, collective agreement, organisational structure and circumstances.
Important
Where the grievance concerns the employee's immediate supervisor, involves serious allegations, or creates a conflict of interest, the employee should be permitted to approach the next appropriate management level or HR directly.
02RecordFormal Written GrievanceExpand
Record the grievance
What happens
- If the matter remains unresolved, the employee submits the grievance formally in writing.
- The written grievance should, where possible, identify the nature of the grievance, relevant dates and events, the person or persons involved, supporting information or documents, previous attempts to resolve the matter and the outcome sought by the employee.
- The responsible manager should acknowledge the grievance, review the written complaint, meet with the employee where appropriate, obtain relevant information, consider the earlier attempt at resolution, make a fair decision, communicate the outcome and record the decision.
Who is involved
The employee, appropriate representation where permitted, and the responsible manager.
What should be recorded
- The written grievance
- Information obtained
- The decision and the outcome communicated to the employee
Possible outcome
If resolved, the matter is closed.
Next step
If unresolved, proceed to Step 3.
Important
The employee should be permitted appropriate representation where the employer's policy, collective agreement or applicable rules allow it.
03EscalateHigher Management ReviewExpand
Review the grievance
What happens
- The written grievance and the outcome of the earlier process are referred to the next appropriate level of management.
- The higher-level manager should conduct an independent review of the matter.
- The review may include the original grievance, previous decisions, relevant correspondence, policies and procedures, employment records, statements from relevant persons, supporting documentation and additional representations from the employee.
- The higher-level manager should reconsider both the substance of the grievance and the fairness of the process followed.
Who is involved
The employee, the next appropriate level of management and Human Resources.
What should be recorded
- A written outcome provided to the employee
- The appropriate record retained by HR
Possible outcome
If resolved, the grievance ends.
Next step
If unresolved, proceed to Step 4.
04InvestigateFormal InvestigationExpand
Investigate independently
What happens
- Where earlier attempts have failed, or where the seriousness or complexity of the grievance warrants it, a formal grievance investigation should be conducted.
- The investigation should be impartial.
- Define the issues requiring investigation.
- Give the aggrieved employee sufficient opportunity to be heard.
- Obtain all reasonably relevant facts and interview relevant persons where necessary.
- Review applicable documents, policies and records, and apply consistent standards.
- Avoid premature conclusions, maintain appropriate confidentiality and consider all material evidence before reaching findings.
Who is involved
Depending on the organisation and the nature of the complaint: a grievance committee, a senior manager not previously involved, Human Resources, an employee-relations specialist, appropriate employee or trade-union representation, or another suitably independent person.
What should be recorded
- An adequate record of the investigation
- Findings and the recommended resolution in writing
- Communication to the appropriate parties
Possible outcome
If resolved, the matter closes.
Next step
If unresolved, proceed to Step 5.
05ReviewFinal Internal DecisionExpand
Top management decision
What happens
- The grievance, investigation findings, previous decisions and relevant supporting information are referred to the highest appropriate internal authority.
- Top management should review the original grievance, the history of attempts to resolve it, evidence obtained, investigation findings, previous management decisions, applicable policies, relevant employment obligations and the representations made by the parties.
- A final internal decision should then be made and communicated in writing.
- The decision should explain the outcome sufficiently for the employee to understand how the grievance was determined.
Who is involved
The highest appropriate internal authority, with Human Resources and the parties to the grievance.
What should be recorded
- The final internal decision in writing
- The supporting record considered
Possible outcome
Where the grievance is resolved, the matter closes.
Next step
Where it remains unresolved, the organisation's internal grievance procedure is ordinarily regarded as exhausted, subject to the employer's own policy or applicable agreement. The employee may then consider whatever external dispute-resolution processes are legally available and appropriate to the dispute.
If unresolved
Internal process exhausted
↓
Identify the nature of the dispute
↓
Determine the appropriate external remedy or forum
External dispute resolution
An unresolved grievance does not automatically mean that every matter may be referred to the CCMA.
The appropriate external forum and process depend upon the nature of the dispute, applicable legislation, bargaining-council jurisdiction, collective agreements and other relevant circumstances.
Potential external processes may include, where legally applicable:
- Bargaining council processes
- CCMA conciliation
- Arbitration
- Labour Court proceedings
- Other statutory or contractual dispute-resolution mechanisms
Principles of a good grievance procedure
- Fair
- Employees and management should regard the process as legitimate and impartial.
- Accessible
- Employees must know how and where to raise grievances.
- Clear
- The stages, responsibilities and escalation routes should be understandable.
- Prompt
- Grievances should be addressed without unnecessary delay.
- Consistent
- Comparable matters should be handled according to consistent standards while recognising relevant differences between cases.
- Impartial
- A person whose conduct is the subject of the grievance should not control the determination of that grievance.
- Protected
- Employees should be able to use the grievance procedure without improper prejudice, retaliation, intimidation or victimisation.
- Recorded
- Formal grievances, material investigation steps, findings and outcomes should be appropriately documented.
- Representative
- Where representation is permitted or required, employees should be informed of the applicable arrangements.
- Confidential
- Information should be shared only with those who reasonably require it for the grievance to be considered and resolved, subject to applicable legal and procedural requirements.
Investigating a grievance
E3 investigation checklist
Do
- ✓ Treat every grievance seriously.
- ✓ Give the employee sufficient opportunity to explain the complaint.
- ✓ Follow the organisation's approved procedure.
- ✓ Apply consistent standards.
- ✓ Establish the facts before reaching conclusions.
- ✓ Review relevant employment records and documents.
- ✓ Speak to relevant witnesses where appropriate.
- ✓ Give affected parties a fair opportunity to respond.
- ✓ Maintain professional behaviour.
- ✓ Record material findings and outcomes.
- ✓ Communicate the outcome appropriately.
- ✓ Remain fair, impartial and accessible.
Do not
- ✕ Predetermine the outcome.
- ✕ Ignore relevant evidence.
- ✕ Allow personal relationships to determine findings.
- ✕ Argue with employees or representatives.
- ✕ Reach conclusions before investigating the facts.
- ✕ Take action outside the organisation's procedure without proper justification.
- ✕ Make unnecessary promises about outcomes.
- ✕ Conceal relevant information where procedural fairness requires it to be considered or disclosed.
- ✕ Attempt to force settlement merely to close the grievance quickly.
- ✕ Refuse to acknowledge management error where the evidence establishes it.
- ✕ Be dishonest or partial.
Grievance procedure health check
Employers should periodically review whether their grievance system actually works. Ask:
- □ Are the grievance stages clearly defined?
- □ Does everyone understand their responsibilities?
- □ Are escalation routes clear?
- □ Are reasonable timeframes established?
- □ Do employees know how to raise a grievance?
- □ Are employees informed about representation?
- □ Are formal grievances appropriately recorded?
- □ Are investigations properly documented?
- □ Is the role of trade unions or employee representatives clear where applicable?
- □ Are grievances analysed for recurring patterns?
- □ Are particular departments, managers or workplace issues generating repeated grievances?
- □ At what level are grievances usually resolved?
- □ Are grievance outcomes being monitored?
- □ Are unresolved grievances taking unnecessarily long to resolve?
- □ Are employees protected against improper retaliation or victimisation?
- □ Are managers trained to investigate and resolve grievances?
- □ Does the procedure accommodate grievances against the employee's direct manager?
- □ Does the procedure provide an alternative route for serious or sensitive complaints?
Why effective grievance handling matters
A functioning grievance procedure is more than an HR formality.
It provides an organised channel through which workplace dissatisfaction can be identified before it develops into deeper conflict.
An effective system can help an organisation:
- Identify workplace problems early.
- Address legitimate employee concerns.
- Reduce unnecessary conflict.
- Improve communication between employees and management.
- Promote trust in internal processes.
- Identify recurring management or organisational problems.
- Improve employee relations.
- Create reliable records of concerns and their resolution.
- Escalate serious matters appropriately.
A grievance procedure therefore serves both people and the organisation. It gives employees a voice while giving management an opportunity to understand and address problems before they become considerably more difficult to resolve.
E3 practical note
A grievance procedure should never become an obstacle course.
The objective is not: “Did the employee complete every box correctly?”
The objective is: “Has the employee raised a genuine workplace concern, and have we provided a fair, credible and effective way of dealing with it?”
Procedure creates structure. Fairness gives that structure legitimacy.
E3 Practical Guidance — not part of the legislation.