What are these two procedures?
A grievance is a complaint by a staff member: about a manager, a colleague, pay, workload or how they were treated. A disciplinary case is the organization acting on a concern about a staff member’s conduct or performance.
They look different but follow the same principles: be fair, be fast enough, be confidential, and write it down. Labour law differs by country and sets required steps, so check yours and, for serious cases, take local legal advice.
What should the written procedure say?
Make it short and easy to find. Include:
- Who can raise a case, and who receives it.
- A second route when the usual person is involved.
- Time targets for each step.
- What can be sanctioned, and the range of outcomes.
- The right to be heard, and who may accompany the person.
- How to appeal and to whom.
- How you protect people who raise concerns from retaliation.
Staff should be told about the procedure when they join. Our onboarding checklist is a good place to do it.
What are the steps?
- Receive. Log the case with the date and a short summary. Confirm receipt.
- Assess. Decide whether it is a grievance, a disciplinary matter or a safeguarding report. Send safeguarding matters down their own route.
- Tell and protect. Explain the process to those involved. Consider interim steps, such as changing reporting lines, without treating anyone as guilty.
- Investigate. Appoint someone with no link to either side. Gather documents and speak to each person and any witnesses. Take notes.
- Hear each side. Give the person concerned the allegations in writing and time to respond.
- Decide. Judge on the evidence, with written reasons.
- Appeal. Offer a review by someone who was not involved in the first decision.
- Close and learn. Record the outcome and any change to how you work.
How do you keep the case confidential?
Only the people who must act should see the file. Do not discuss it in open chat or with colleagues. Store papers and notes with restricted access, and keep a log of who opened the file. Tell those involved what they may and may not say. Confidentiality protects both the person who complained and the person accused.
What makes a decision fair?
| Test | Question |
|---|---|
| Independent | Is the decider free of any link to either side? |
| Informed | Did they see all the relevant evidence? |
| Heard | Did each person get to give their account? |
| Consistent | Would a similar case end in a similar outcome? |
| Proportionate | Does the outcome fit the finding? |
| Written | Are the reasons clear on paper? |
Where a case involves pay or performance, link it to the evidence in your performance reviews.
What should the file hold?
Keep the original complaint or allegation, the log of steps with dates, notes of every meeting, evidence, the decision with reasons, the appeal and its outcome, and any follow-up. Keep the file for the period that your law and policy require. Retention rules differ by country.
Common mistakes to avoid
- Waiting too long. Delay hurts everyone. Set time targets, and tell people when a step will run late and why.
- Deciding before investigating. A manager who has already formed a view should not decide the case.
- Mixing roles. The person who investigated should not also hear the appeal.
- Informal fixes for serious matters. A quiet word may suit a small issue. A serious allegation needs the formal route and a record.
- Punishing the person who complained. Retaliation is a serious breach. Check in with the complainant after the case closes, and watch for changes in how they are treated.
- Skipping the lesson. If three grievances come from one team, the issue is the team, not three individuals. Look at patterns once a year, and report themes to leadership without names.
Train managers on the basics: how to receive a complaint, what to say and what not to promise. Most cases are made worse in the first conversation, by someone who meant well.
Once a year, report the number and type of cases to leadership, without names: how many, how long each took, and what changed. If cases take far longer than your targets, find the cause. A procedure that exists on paper but runs slowly teaches staff not to use it.
Where EMPOBase fits
In the People & HR module, EMPOBase handles grievance and disciplinary cases as confidential casework with their own access rules, separate from the wider staff profile. It supports your procedure but does not decide a case, judge fairness or replace legal advice, so your people stay responsible for the decision. See the documentation or the security page.