1                 Dealing with grievances

1.1             A grievance is quite simply any concern, problem or complaint that an employee raises with their employer.

1.2             So, what do you do if an employee raises a grievance with you either formally using your organisation’s grievance procedure or informally, perhaps by just having a quiet word in your ear about something they are unhappy with?

1.3             Firstly, it is worth saying that if you are aware of problems in your team don't ignore them and hope things will resolve themselves. Be pro-active and try to mediate informally before things escalate to the formal stage and the grievance procedure is invoked. Many concerns can be raised and resolved effectively in the course of everyday working relationships.

1.4             If an employee has a concern about someone’s behaviour, it is often best to try to speak with them and discuss how it might be resolved. If it is not possible to speak directly with the person, or the employee is not comfortable doing so, they should speak with their line manager or someone else in the organisation who may be able to help. If the employee’s concern is about a legal entitlement or a workplace practice or policy, they should speak with their line manager or another appropriate person such as a human resources (HR) representative. It may also be useful for the employee to discuss the concern with someone not directly involved, such as a colleague, or a trade union or other workplace representative.

1.5             If an employee raises a concern informally, you should take it seriously and address it without unreasonable delay. You should listen to what the employee has to say and discuss what is needed to resolve it. If more information is needed, you should look into it further. It may be an option to consider mediation or a facilitated conversation as a way to resolve the concern.

1.6             Grievance procedures commonly require employees to put their complaints in writing to their line manager in order to initiate the formal grievance process.

1.7             If it is unclear whether the employee is raising a formal grievance, you should ask for clarification as soon as possible. If they confirm they wish to raise a grievance, ask them to put their issues in writing in accordance with the grievance procedure.

1.8             Don’t forget to check the requirements of any written grievance policy which applies to employees in your organisation to ensure that both the employee and you are complying with its requirements. For example, does the policy make a commitment to deal with grievances within a specified timeframe? Clarify with HR whether the grievance policy is contractual or non-contractual. If it is contractual then it will be even more important to follow its requirements to the letter. If the policy is non-contractual then you will have more flexibility to deal with each case as the particular situation requires.

1.9             If your organisation has a separate bullying and harassment procedure it may be more appropriate, in relevant situations, for the matter to be dealt with under that procedure rather than treated as an ordinary grievance.

1.10           You need to be aware of the Acas Code of Practice on Disciplinary and Grievance Procedures and the Acas non-statutory guide to discipline and grievances at work. Failure to follow any part of the Acas Code does not of itself make an employer liable to proceedings. However, employment tribunals must take the Acas Code into account where relevant when considering whether an employer has acted reasonably or not. If the employee subsequently brings certain successful claims, the tribunal can adjust the amount of compensation by up to 25% either way if the employer or the employee has unreasonably failed to comply with the Acas Code.

1.11           Employees might raise issues about matters not entirely within the employer's control, such as client or customer relationships (for instance where an employee is working on another employer’s site). The non-statutory Acas guide advises that these should be treated in the same way as grievances within the organisation, with the employer investigating as far as possible and taking action if required. The organisation should make it very clear to any third party that grievances are taken seriously, and action will be taken to protect their employees.

1.12           You should not put any documents relating to the grievance into an unsecured AI tool such as publicly available ChatGPT or AI features on personal, free to use email accounts (for example, asking an unsecured AI tool to summarise the grievance or draft an outcome letter). To do so risks breaching confidentiality and data protection obligations.

2                 Guidelines for dealing with grievances

2.1             When an employee raises a formal grievance, do not ignore the issue and delay dealing with it. An employer is under a duty to deal with a grievance in a timely manner: failure to do so could ultimately enable an employee to resign and claim constructive dismissal.

2.2             Don't try and deal with the matter on your own, particularly if it involves a potential legal claim i.e. if there is a possible discrimination angle to the complaint. Speak to your HR department to let them know you have received a grievance as soon as possible so that they can assist you.

2.3             Acknowledge receipt in writing. Advise the employee of any internal and external support and guidance available to them. Check whether any additional arrangements need to be made.

2.4             An investigation is usually required. This is a fact-finding exercise to collect all the relevant information on the issues raised in the grievance. A properly conducted investigation will enable the employer to make an informed decision on the grievance after a full consideration of all the relevant facts. Making a decision on a grievance without first completing a reasonable investigation could potentially make that decision unfair and leave the employer vulnerable to legal action.

2.5             The role of an investigator is to be fair and objective so that they can establish the essential facts of the matter and reach a conclusion on what did or did not happen. An investigator should do this by looking for evidence that supports the allegation and evidence that contradicts it.

2.6             The roles of grievance investigator and decision-maker may be combined. Matters raised in a grievance may be resolved more satisfactorily if the person investigating the issue also hears the grievance.

2.7             The Acas guide recommends that the investigator should:-

2.7.1         check relevant policies and procedures;

2.7.2         identify possible sources of evidence;

2.7.3         identify possible parties relevant to the investigation;

2.7.4         decide the order in which evidence should be collected;

2.7.5         decide where meetings will take place.

2.8             Acas recommends that at the outset of the investigation, an employer should consider the precise purpose and scope of the investigation. The Acas guide suggests that terms of reference are drawn up to clearly explain the investigator’s role and responsibilities.

2.9             Invite the employee to a formal meeting to explain their grievance and how they want it resolved. This meeting should be conducted like any other formal meeting. You should have a third party, such as HR, present to act as a witness and note taker.

2.10           At the grievance meeting an employees should be given the opportunity to fully explain their complaint. Your role is to listen and ask questions, if necessary, to be totally clear about the matters they are raising.

2.11           Remember that the purpose of the grievance procedure is to enable issues to be resolved in the workplace. Be clear about the outcome that the employee is seeking. For example, do they want a specific management decision to be overturned or do they just want an apology? Often employees don't actually think about what it is they want so ask them if they have not been clear about this.

2.12           If you feel you need further clarification on any point raised during the meeting, go back to the employee and ask if necessary.

2.13           You may need to interview witnesses, to try to establish the facts of what the employee is complaining about and reach a decision. The Acas guide suggests that it is good practice at the end of the meeting for the investigator to ask the interviewee whether there are other witnesses they think should be interviewed and why, and check whether there is anything else that the interviewee thinks is important to tell the investigator. After a meeting with interviewee or any witness, the investigator should provide them with a copy of their statement and ask them to agree that it is an accurate reflection of the information they provided.

2.14           If the grievance concerns other employees or requires you to talk to witnesses bear in mind data protection and confidentiality issues. While you may be able to grant anonymity to witnesses internally, if the matter ultimately ends up in an employment tribunal you will not be able to preserve that anonymity. It is important to manage expectations in this regard and not make promises that you can’t keep later on. Some employees will be reluctant to give evidence to assist the investigation, either because of a fear of reprisals or because of a wish to "not get involved". The investigator should try to find out why and see if there is a way to resolve the issue. The Acas investigations guide states that only in exceptional circumstances where a witness has a genuine fear of reprisals should an investigator agree that a witness statement is anonymised.

2.15           Depending upon the complexity of the matter it may take some time for the grievance to be completed. Make sure you keep the employee informed of the likely timescale and any changes to it.

2.16           In serious cases where the employee is very distressed consider if it is appropriate to send them home (on full pay) for a short while.

2.17           After the meeting has concluded and any investigation is complete, you will need to consider the facts and decide whether the grievance is well founded. If so, you will then have to decide whether to take the action which the employee has requested or whether some other action might be more appropriate.

2.18           Many grievances arise out of management decisions with which the employee disagrees. It is therefore important that the employee fully understands why such decisions have been made. It may be that once they've vented their frustration and heard the employer's explanation, they are content to leave it there.

2.19           Where the grievance essentially involves a “clash of personalities” consider if internal or external mediation might be beneficial.

2.20           If you think it could be helpful, invite the employee to a meeting to explain your decision before confirming it in writing.

2.21           Communicate your decision clearly and promptly in writing setting out the reasons for your decision and giving details of any actions you intend to take to resolve the grievance.

2.22           Consider whether there are any follow-up actions you need to take, for example, are there any “lessons to be learned” for the organisation? Do internal processes need to be changed? If there is a discrimination angle to the grievance, does disciplinary action need to be instigated against the perpetrators?

2.23           Sometimes an employee may only wish to raise a grievance if they themselves can be granted anonymity.  This can raise difficult issues for an employer. Not only may agreeing to such a request prevent an employer from adequately investigating the matter but, once they are on notice that there is a problem for example, bullying, they will have a duty to deal with it and could incur legal liability if they do nothing.

2.24           Don't forget to let the employee know that they have a right of appeal. If the employee does so the appeal meeting should be conducted by a more senior manager if possible who has not previously been involved with the matter.

2.25           Employees should be given the opportunity to bring a work colleague or trade union representative to all meetings held under a formal grievance procedure.

2.26           Make sure you keep a written record of the actions you have taken in respect of the grievance, including notes of conversations and meetings.