Grievance Procedure Manual

GRIEVANCE PROCEDURE MANUAL

Department of Correctional Services

1 DCS Grievance Procedure DBC Resolution 108/96 Table of Contents

GRIEVANCE PROCEDURE MANUAL...... 1. Manual and Learning Objectives...... 2. Concepts and Definitions...... 3. Purpose , Aim and Function...... 4. Objectives...... 5. Requirements for successful procedure...... 6. Departmental grievance procedure...... 7. Stages of the grievance process...... 8. Collective grievances...... 9. General information...... 10. Conclusion...... Annexure A: Stages of the grievance process...... Annexure B: Levels of authority...... Annexure C: Grievance form......

1 DCS Grievance Procedure DBC Resolution 108/96 1. Manual and Learning Objectives

Manual The objectives of this manual is to train the user thereof in concepts of Objectives utilising the grievance procedure.

Learning On conclusion of this module the user of this manual must: Objectives · have sufficient knowledge with regard to purpose and objectives of the grievance procedure;

· have sufficient knowledge with regard to the requirements of the grievance procedure;

· be aware of the principles of the grievance procedure; and

· be able to apply the grievance procedure.

2 DCS Grievance Procedure DBC Resolution 108/96 2. Concepts and Definitions

Concept of the Employees should be given the opportunity to air their grievances through the process process of establishing and marketing of an accessible and available grievance procedure.

Definition of a A grievance can be defined as grievance · any feeling of dissatisfaction of an employee with regard to any aspect in his work situation, or · any cause of dissatisfaction experienced by an employee or group of employees arising from the work situation.

Definition of a Shop steward as defined in the various recognition agreements between the shop steward Department of Correctional Services and the employee organisations.

Definition of Place of work includes Head Office, Provincial Commissioners’ offices, Area place of work Manager’s offices, prisons and sections within prisons.

Possible When dealing with grievances of employees it is important to accept misconception · the fact that employees may have grievances, · that such grievance may be expressed, and · should not be perceived as negative or putting management in a bad light.

Results of If the management of this department views grievances as a negative misconception phenomenon

· employees will not have the confidence to express their grievances, and · even if employees express their grievances, they would not trust management to actually attempt to solve their grievances.

3 DCS Grievance Procedure DBC Resolution 108/96 3. Purpose , Aim and Function

Purpose The purpose of the grievance procedure is to

· draw management’s attention to employees’ grievances, and

· endeavour to settle them · in the most effective way, · at the lowest possible level.

Aim A grievance procedure is a communication mechanism which is

· directed upwards, and · makes provision for an employee to have the right to discuss a grievance at different levels of authority, · with the aim of finding a meaningful and constructive solution.

Note: See Annexure B for levels of authority.

Function The procedure functions

· within a series of predetermined steps · with the right to refer a grievance to a higher management authority · if a grievance could not be satisfactorily solved at a specific level.

4 DCS Grievance Procedure DBC Resolution 108/96 4. Objectives

Objectives of The objectives of the grievance procedure are as follows: grievance procedure · Maintenance and promotion of sound employer/employee relationships.

· Timeous identification and settlement of grievances to the satisfaction of both parties.

· Prevention of conflict and friction in the work situation.

· Identification and eradication of harmful practices.

· Protection of the rights of personnel members and management.

· Granting of actual and objective attention to a grievance.

· Ensuring a uniform manner of dealing with grievances.

5 DCS Grievance Procedure DBC Resolution 108/96 5. Requirements for successful procedure

Timeliness Grievances should be resolved as soon as possible.

Level of resolve Grievances should be resolved as close as possible to their point of origin.

Formality The grievance procedure should be formal and should be written down.

Relevance The grievance procedure should be applicable to everybody, irrespective of

· race, · gender, or · status.

Authority The grievance procedure should take place along line management to prevent line authority from being undermined.

Channels The procedure should have at its disposal formal channels which give the aggrieved the right to appeal.

Protection The grievance procedure should protect the employee against possible victimisation.

Accessible The grievance procedure should be

· realistic, · easily obtainable, · understandable, and · known to everyone.

6 DCS Grievance Procedure DBC Resolution 108/96 6. Departmental grievance procedure

Principles The principles of the departmental grievance procedure are divided into two groups, i.e.

· Policy principles, and · General principles.

Policy It is the policy of the Department that all employees should Principles · be afforded a proper opportunity to raise their grievances;

· raise grievances with management as soon as possible in order for the grievance to be settled · without delay, and · as close as possible to the point of origin.;

· be timeously informed of the reasons for the exceeding of the period prescribed for attending to grievances; and

· have the right to be accompanied by · a fellow employee or shop steward from the same place of work or section, or · an official of his/her employee organisation · during working hours, when raising a grievance.

General The following general principles are applicable, and subsequently discussed: principles · Delegation · Reconsideration · Communication · Confidentiality · Management responsibility · Grievance procedure versus disciplinary procedure · Settling grievances in official time · Informal versus formal procedure · Individual versus collective grievances

Continued on next page

7 DCS Grievance Procedure DBC Resolution 108/96 Departmental grievance procedure, Continued

Delegation Decision-making should be in line with approved delegation levels.

IF … THEN… the direct supervisor or the next line the direct supervisor concerned must manager(s) does not have the · forward the grievance via line authority to take a decision about a management, grievance · in consultation with the aggrieved, · as promptly as possible · to the level of the decision-making authority.

Reconsideration An employee need not accept the manner in which a grievance is settled at any particular level.

IF … THEN … an employee or group of employees the aggrieved person(s) may request is not satisfied with the way in which that the grievance be referred to the a grievance is settled after it has been following higher level to be attended to by the line manager reconsidered.

Communication The employee must be informed of the progress of the grievance throughout the process.

IF … THEN … · a grievance is referred to a higher the member must be timeously authority, or informed in this regard. · the grievance duration of time will be exceeded when a solution must be found for a problem

Confidentiality Strict confidentiality must be maintained by those concerned in dealing with grievances.

NOTE: Management can implement the necessary precautions at its own discretion to ensure confidentiality.

Management The management of personnel morale is directly linked to the effectivity of a responsibility grievance procedure.

· The grievance register must be submitted to the · Head of the Prison, · Head Managerial Services, or · Area Manager

· on a monthly basis

· by the Head of Personnel

· with a view to monitoring · the progress, · successful/unsuccessful dealing with grievances, and

· taking the necessary corrective actions.

Grievance A clear distinction must be made between the grievance procedure and the procedure disciplinary procedure. versus disciplinary · The grievance procedure cannot be used for settling disciplinary matters. procedure · Unfortunate incidents deriving from the disciplinary procedure must be forwarded by means of an appeal in terms of the disciplinary procedure.

Reporting Aggrieved employees have the right to report their grievances during normal grievances in working hours. official time

Informal versus A grievance which has initially been forwarded informally (verbally) to the formal first line supervisor, must be dealt with formally (in writing) to the second procedure line supervisor and the subsequent levels.

Individual Individual as well as collective grievances are forwarded in accordance with versus the stages of the grievance process. collective grievances

Representation In the case of a collective grievance of members

· who are not represented by an employee organisation, · they may be represented by a maximum of three representatives · who must be appointed by the aggrieved members themselves.

Collective Collective grievances may be forwarded to the Head of the Prison or Head of grievances Component, depending on the case via the steps of the grievance procedure. procedure These grievances may then be further discussed with

· either representatives of the employee organisations, in accordance with the provisions of the applicable recognition agreements, or · in the case of members not represented by an employee organisation, by a maximum of three representatives of the members concerned.

Recording A register must be implemented in which a record of all grievances must be kept.

NOTE: See Keeping a record of grievances.

Grievance The grievance register must make provision for the following information: register information · date on which grievance is reported · aggrieved’s persal number · aggrieved’s rank · aggrieved’s name · nature of grievance · level at which grievance is solved · date on which grievance is finally settled

Safekeeping of The contents of the grievance register is confidential. Therefore, the register register must always be kept in safety by the responsible member/officer.

Procedure for The procedure to keep record of grievances is as follows: record keeping

Step Action Responsibility 1 Keep enough copies of the grievance form Personnel clerk available in the personnel office. 2 Keep a grievance register in the personnel Personnel clerk office at the command area head office.

NOTE: Satellite prisons not on the same geographical premises as the command area head office must keep their own grievance register. 3 Report a grievance to the first level Aggrieved member(s) supervisor. 4 Register the grievance in the grievance Direct supervisor register 5 Accept the decision by signing the form as Aggrieved member(s) soon as a grievance has been finally settled. 6 Register the decision and final date of Head Personnel settlement in the grievance register. 7 File grievance form for collective grievance Personnel clerk on the grievance file (S16/5). 8 File grievance form for individual Personnel clerk. grievance on the members personnel file.

11 DCS Grievance Procedure DBC Resolution 108/96 7. Stages of the grievance process

Stages The seven stages of the grievance process are described in the following table:

Stage Description 1 · An employee raises a grievance verbally or in writing with the first level of authority (direct supervisor). · The employee may be accompanied by · a shop steward ,or · fellow employee from the same place of work ,or · an official from his/her employee organisation. · The first level of authority must endeavour to resolve the grievance within two working days. · In the event of an employee having a complaint against his/her immediate supervisor, he/she may approach the second level of authority for the solution of the grievance. · The direct supervisor is responsible to give the completed grievance form with the relevant documentation to the next level of authority without delay. · If the employee accepts the supervisor’s reaction to the complaint/grievance, the matter is finalised. · The agreement must then be registered and filed appropriately. 2 · If the grievance cannot be resolved at the first level of authority, a grievance form must be · completed by the employee ,and · the first level of authority must submit the form to the second level of authority. · The second level of authority must endeavour to resolve the grievance within three working days. · If the grievance cannot be resolved it must be referred to the third level of authority.

NOTE: See grievance form as per Annexure C which must be available at the personnel office 3 · In the event of the grievance not being settled at stage 2, the second level of authority submits the form to the third level of authority. · The third level of authority must endeavour to resolve the grievance within three working days.

12 DCS Grievance Procedure DBC Resolution 108/96 7. Stages of the grievance process, Continued

Stages (continued)

Stage Description 4 · In the event of the grievance not being settled at stage 3, the third level of authority submits the form to the fourth level of authority. · The fourth level of authority must endeavour to resolve the grievance within five working days. 5 · In the event of the grievance not being settled at stage 4, the fourth level of authority submits the form to the fifth level of authority. · The fifth level of authority must endeavour to resolve the grievance within seven working days. 6 · This stage provides for grievances concerning matters where the decision-making competence/delegation level resides at Head Office. A decision cannot be taken at a lower level. · The sixth level of authority must endeavour to settle the grievance within ten days. 7 If the grievance remains unresolved, the employee may pursue any lawful course of action (external remedies).

Diagram See Annexure A for a diagram of the grievance process.

13 DCS Grievance Procedure DBC Resolution 108/96 8. Collective grievances

Definition When two or more employees have a grievance affecting them collectively, it is dealt with as a single collective grievance.

Representation A maximum of three persons from the same place of work as the aggrieved employees may be delegated to submit the grievance. These persons may be

· fellow employees, or · shop stewards.

Stages The delegates must follow the seven stages of the grievance process.

NOTE: See Stages of the grievance process.

14 DCS Grievance Procedure DBC Resolution 108/96 9. General information

Disputes The grievance process makes provision for dealing with

· a dispute of right, as well as · a dispute of interest.

Dispute of right A dispute of right refers to

· a dispute over the rights of the employee/employer, and · which is experienced as an unfair labour practice.

Dispute of A dispute of interest refers to the creation of fresh rights which any of the interest parties does not have at its disposal.

Conciliation · The grievance procedure will form part of the request for the establishment board of a conciliation board in the event of a dispute of right.

· If the aggrieved is not satisfied with the answer received, he/she does not have to follow the initial procedure of section 18(1) of the Public Service Labour Relations Act.

· The aggrieved can immediately request the constitution of a conciliation board.

Unresolved · If a grievance is not resolved within the time frame (or as mutually agreed) grievances the grievance may promptly be forwarded to the higher level of authority by the aggrieved employee.

· The grievance must be forwarded to the higher level of authority by the employer in any event.

15 DCS Grievance Procedure DBC Resolution 108/96 General information, Continued

Responsibility · It is the responsibility of the personnel clerk to inform line management of a of personnel grievance. clerk · In the case of decision-making authority at a higher level, the direct supervisor must refer the grievance directly to that level through the personnel clerk.

Head Office · Should the decision-making competency be at head office level, it will level imply that another level would be added, before utilising external remedies (H/O).

· The time limit to finalise a matter at this level is ten days.

Maximum time The number of days allowed for the settlement of a grievance cumulates to a allowed maximum of thirty days.

Exceeding the · If any level of authority exceeds the indicated time limit, it will place a time limit heavier burden on the remaining levels of authority to consider the grievance.

· Therefore, supervisors must forward the grievance to the relevant level without delay, especially where the decision-making competency is at a higher level.

Rights of Any rights of employees in terms of this grievance procedure shall be in employees addition to any rights which they have in terms of any other law or the common law.

Grievance A grievance register must be implemented at each management area to keep register record of grievances and the time frames concerned.

16 DCS Grievance Procedure DBC Resolution 108/96 10. Conclusion

Opportunity By means of the grievance procedure the employer gives the employee the opportunity to air any grievance in a controlled manner

Awareness The grievance procedure enables management

· to be aware of any personnel dissatisfactions · in order to give attention to such problems · before they develop into formal disputes.

17 DCS Grievance Procedure DBC Resolution 108/96 Annexure A: Stages of the grievance process

Diagram The seven stages of the grievance process are illustrated in the following diagram:

Stage Employee … Time frame Cumulated time 1 raises grievance verbally or in writing with 2 working days 2 working days first level of authority (supervisor).

if not satisfied with decision …  Stage Employee … Time frame Cumulated time 2 approaches second level of authority. 3 working days 5 working days

if not satisfied with decision …  Stage Employee … Time frame Cumulated time 3 approaches third level of authority 3 working days 8 working days

if not satisfied with decision …  Stage Employee … Time-frame Cumulated time 4 approaches fourth level of authority 5 working days 13 working days

if not satisfied with decision …  Stage Employee … Time-frame Cumulated time 5 approaches fifth level of authority 7 working days 20 working days

if not satisfied with decision … 

18 DCS Grievance Procedure DBC Resolution 108/96 Annexure A: Stages of the grievance process, Continued

Stage Employee … Time-frame Cumulated time 6 approaches sixth level of authority only in 10 working 30 working days the event of the decision-making days competency at Head Office and not at lower levels

if not satisfied with decision  Stage Employee… 7 · demands external remedies · matter becomes a dispute

Exception All seven stages of the grievance process would only apply to an employee at the lowest level.

Example: If the Head of a Prison submits a grievance, stages 1 and 2 would be omitted.

19 DCS Grievance Procedure DBC Resolution 108/96 Annexure B: Levels of authority

Diagram The various levels of authority are illustrated in the following diagram:

LEVEL COMMAND AREA PROVINCIAL HEAD OFFICE OFFICE First Immediate supervisor Immediate supervisor Immediate supervisor (Stage 1) Second · Section Head Assistant-director Assistant-director (Stage 2) · Head Personnel Third · Head of Prison Deputy-director Deputy-director (Stage 3) · Head: Management Services Fourth Area Manager Provincial Control Director (Stage 4) Officer Fifth Provincial Provincial Deputy-Commissioner (Stage 5) Commissioner Commissioner Sixth Deputy-Commissioner Deputy-Commissioner Deputy-Commissioner (Stage 6) Only when decision- making competency resides in HO Seventh · External remedies · External remedies · External remedies (Stage 7) · Dispute · Dispute · Dispute

First level · Immediate supervisor: Management Area · Immediate supervisor: Provincial Office · Immediate supervisor: Head Office

Second level · Section Head/Head of Personnel: Management Area · Assistant-director: Provincial Office · Assistant-director: Head Office

20 DCS Grievance Procedure DBC Resolution 108/96 Annexure B: Levels of authority, Continued

Third level · Head of Prison/Head of Management Services: Management Area · Deputy-director: Provincial Office · Deputy-director: Head Office

Fourth level · Area Manager: Management Area · Provincial Control Officer: Provincial Office · Director: Head Office

Fifth level · Provincial Commissioner: Management Area · Provincial Commissioner: Provincial Office · Deputy-Commissioner: Head Office

21 DCS Grievance Procedure DBC Resolution 108/96 Annexure C: Grievance form

Diagram An example of the grievance form is illustrated in the following diagram:

GRIEVANCE FORM GRIEVANCE NO: GRIEF VORM GRIEFNO :……………………………

DATE : INITIAL : DATUM: ……….………………. PARAAF: ………………………………………………….….

MANAGEMENT AREA: SECTION/DIVISION: BESTUURSAREA : …………………………………. SEKSIE/AFDELING : ………………………………………..

NAME OF EMPLOYEE : PERSAL NO: RANK: NAAM VAN WERKNEMER: ………………… PERSALNR : …………………. RANG: ………..…………………

NATURE OF GRIEVANCE: AARD VAN GRIEF : ……………………………………………………………………..………………………………… ………………………………………………………………………………………………………………………………………… ………………………………………………………………………………………………………………………………………… ………………………………………………………………………………………………………………………………………… ………………………………………………………………………………………………………………………………………… …………………………………………………………………………………………………………………………………………

SOLUTION DESIRED : OPLOSSING VERLANG: …………………………………………………………………………………………………..………. ………………………………………………………………………………………………………………………………………… …………………………………………………………………………………………………………………………………………

GRIEVANCE DEALT WITH BY: CAPACITY : GRIEF HANTEER DEUR : …………………………………… HOEDANIGHEID: ……………………………….…

DATE OF INQUIRY : DATUM VAN ONDERSOEK: 19….../….../…...

DECISION : BESLISSING: …………………………………………………………….………………………………………………………… ……………………………………………………………………………………………………………………………………….. ……………………………………………………………………………………………………………………………………….. ………………………….……………………………………………………………………………………………………………..

SIGNATURE GRIEVANCE RESOLVED/ DATE/DATUM HANDTEKENING NOT RESOLVED GRIEF OPGELOS/ NIE OPGELOS

……………………… ………………………………… ………………………. 19….../….../…... EMPLOYEE/WERKNEMER REPRESENTATIVE/ VERTEENWOORDIGER

GRIEVANCE WAS REFERRED TO: DATE GRIEF IS VERWYS NA : ……………………………………. DATUM: 19……/……/……

INQUIRY WAS HELD ON ONDERSOEK IS GEHOU OP: 19……/……/……

22 DCS Grievance Procedure DBC Resolution 108/96 Annexure C: Grievance form, Continued

Diagram An example of the grievance form is illustrated in the following diagram (Cont.) (continued):

DECISION BESLISSING: ………………………………………………………………………………………………………….…………… ……………………………………………………………………………………………………………………………………….. ……………………………………………………………………………………………………………………………………….. ……………………….……………………………………………………………………………………………………………….. SIGNATURE GRIEVANCE RESOLVED/NOT RESOLVED DATE/ HANDTEKENING: GRIEF OPGELOS/NIE OPGELOS DATUM

………………………………. ………………………… EMPLOYEE/WERKNEMER REPRESENTATIVE/ 19…../…../….. VERTEENWOORDIGER

REFERRED TO COMMISSIONER ON VERWYS NA KOMMISSARIS OP : 19……/……/……

23 DCS Grievance Procedure DBC Resolution 108/96