Disciplinary & grievance procedures
Working relationships are often key to the success of a business, and where issues arise, they need to be dealt with fairly, swiftly and with as little disruption as possible.
Disciplinary and grievance procedures in the workplace
A disciplinary procedure is a formal procedure that an employer will use to investigate and tackle issues of misconduct and, in some cases, poor performance, relating to its employees.
A grievance procedure is a formal procedure used by an employer to address a concern or complaint raised by an employee.
It is important for employers to have clear disciplinary and grievance procedures to ensure fairness and consistency. Employers are also legally obliged to provide certain written information to employees about these processes and, as such, it’s sensible to have written policies setting out the procedures.
Understanding Disciplinary and Grievance Procedures
The Advisory, Conciliation and Arbitration Service (ACAS) Code of Practice on disciplinary and grievance procedures (the Code) sets out the minimum expectations for these procedures.
A beach of the Code will be taken into account by an Employment Tribunal and if an employer (or employee) unreasonably fails to follow the Code, the compensation payable to the employee may be adjusted by up to 25%.
Steps in a Disciplinary Procedure
Employers have flexibility over their procedures but will need to follow the Code. The key stages of the process are:
- Informal Resolution – In the first instance the employer may seek to resolve minor issues informally although this is not always possible.
- Investigation – The employer will conduct an investigation before deciding whether or not there is a case to answer.
- Disciplinary Hearing – If there is a case to answer, the employee will be invited to a disciplinary hearing. Employees will have a right to be accompanied to this meeting by a trade union representative or colleague.
- Decision – The employer will consider the evidence and make a decision. Prior to this it may decide to carry out further investigations if this is required. Although there is flexibility here sanctions will usually include a first written warning, a final written warning or dismissal. Alternatives to dismissal may also be considered such as a transfer to an alternative role.
- Appeal Process – The employee should be given a right to appeal the employer’s decision which will involve further investigations as appropriate, an appeal hearing and decision.
Steps in a Grievance Procedure
Again, employers have flexibility over their procedures but will need to follow the Code. The key stages of the grievance process are:
- Informal Resolution – The employee and employer may try to resolve matters informally first, though this is not always possible.
- Formal Grievance – If matters cannot be resolved informally, the employee will need to raise a formal grievance. This will usually be done in accordance with the employer’s grievance policy.
- Grievance Hearing – The employer will hold a meeting with the employee to discuss their grievance in more detail. The meeting may have to be adjourned to allow further investigations to take place. Employees have the right to be accompanied to such meetings by a trade union representative or colleague.
- Decision – The employer will decide whether or not to uphold the grievance and what action (f any) should be taken.
- Appeal Process – The employee should be given a right to appeal the employer’s decision which will involve further investigations as appropriate, an appeal hearing and decision.
Common Mistakes in Disciplinary and Grievance Procedures
A common mistake in both work disciplinary and grievance processes is not carrying out a full investigation. Employers are not expected to leave no stone unturned but will be expected to carry out a reasonable investigation. If an employee requests that the employer speak to certain witnesses or obtain certain documents, employers should give this careful consideration before refusing.
Not adhering to the employer’s process and/or the Code is another area where employees regularly challenge employers. This includes where there have been unreasonable delays in the process. Employers should be careful about committing themselves to unmanageable deadlines in their policies.
It is also common for employees to argue that they have not been given adequate information, for example about the charges themselves (in a disciplinary context) or about the investigation, evidence and process followed. Communication with employees is extremely important as part of these processes.
- Disciplinary and Grievance Issues Solicitors in Reading and London
Disciplinary and grievance issues arise in the workplace all the time.
We offer commercial and practical advice on handling disciplinary and grievance issues to minimise the risk of Tribunal claims whilst maintaining good industrial/employee relations wherever possible.
We can:
- Draft grievance and disciplinary policies
- Provide training to staff who will be responsible for carrying out the process
- Provide advice during the process from beginning to end
- Assist you should you wish to appoint an external investigator
- Draft communications for employees including assisting you in drafting outcome letters
- Offer guidance on practical steps to take following the conclusion of the process to mitigate future risks
If you need any assistance with grievance or disciplinary processes please do get in contact with our expert employment solicitors who will be happy to help.
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Legal 500
FAQs – Disciplinary & grievance
A disciplinary procedure is an internal process that an employer has in place to address and deal with allegations of misconduct relating to its employees. In some cases it may also be used to address issues of poor performance though it is common for employers to have a separate policy for performance management.
Employers should create written grievance and disciplinary policies clearly setting out its expectations and the procedures it has in place.
ACAS produce a guide on these processes (often referred to as the ‘ACAS Code’) which provides a strong foundation for the development of rules and procedures. Where relevant, a failure to follow the ACAS Code will be taken into account by a Tribunal.
Yes, in the first instance employers will usually try and resolve matters informally. However, a formal process would be used if this is not successful and/or if the employee requests this.
A grievance refers to a concern an employee has and wishes to raise with their employer. It’s important for an employer to have an effective procedure for dealing with these so that it can investigate and properly address any concerns raised.
ACAS has produced a guidance document (often referred to as the ‘ACAS Code’) for disciplinary processes which provides a strong foundation for conducting disciplinary meetings. Where relevant, a failure to follow the ACAS Code will be taken into account by a Tribunal.
ACAS sets out the procedure to follow at the disciplinary hearing itself (as well as procedures preceding and following this stage) which includes allowing the individual to be accompanied by a trade union representative or colleague; clearly explaining the complaint to the employee; going through the evidence gathered; and allowing the employee to state their case, raise any relevant points, present evidence, call witnesses and ask questions.
This may differ for different employers and depending on the job roles concerned. There will also be some instances of misconduct that are so serious they are classed as ‘gross misconduct’.
Examples of misconduct could include minor breaches to policies or contracts; poor timekeeping; damage to property; refusal to follow instructions; obscene language and unauthorised absence. Examples of gross misconduct could include theft; fraud; misuse of company property; being under the influence of alcohol/illegal drugs at work; violence; discrimination and serious or repeated breaches of company policy. These are not exhaustive lists and there are many more examples of misconduct and gross misconduct.
Employers have flexibility over their procedures but will need to follow the Code. The key stages of the process are:
- Informal Resolution – In the first instance the employer may seek to resolve minor issues informally although this is not always possible.
- Investigation – The employer will conduct an investigation before deciding whether or not there is a case to answer.
- Disciplinary Hearing – If there is a case to answer, the employee will be invited to a disciplinary hearing. Employees will have a right to be accompanied to this meeting by a trade union representative or colleague.
- Decision – The employer will consider the evidence and make a decision. Prior to this it may decide to carry out further investigations if this is required. Although there is flexibility here sanctions will usually include a first written warning, a final written warning or dismissal. Alternatives to dismissal may also be considered such as a transfer to an alternative role.
- Appeal Process – The employee should be given a right to appeal the employer’s decision which will involve further investigations as appropriate, an appeal hearing and decision.
Having a clear disciplinary procedure in the workplace is really important. It ensures employees know the standards expected of them and what behaviour is inappropriate. It helps manage expectations about the process that will be followed and encourage improvement.
It is important for employers to have clear disciplinary procedures to ensure fairness and consistency of treatment. Employers are also legally obliged to provide certain written information to employees about these processes and, as such, it’s sensible to have written policies setting out the procedures.
