Disciplinary and Grievance Procedures
Disciplinary and grievance procedures are two sides of the same coin. Disciplinary procedures deal with the organisation raising a concern about an employee's conduct or performance. Grievance procedures deal with an employee raising a concern about the organisation, a colleague, or their work. Both need to be fair, consistent and properly documented.
Most jurisdictions set minimum standards for how these processes are run. In the UK, the ACAS Code of Practice on Disciplinary and Grievance Procedures sets out the expected approach, and unreasonable failure to follow it can affect any subsequent employment tribunal claim. Other jurisdictions have their own codes or statutory processes.
When Disciplinary Procedures Apply
A disciplinary procedure is used when the organisation has a concern about an employee's conduct or performance that cannot be resolved informally. Conduct issues include things like persistent lateness, unauthorised absence, insubordination, theft or breach of policy. Performance issues include consistently failing to meet the standards required for the role.
A fair disciplinary procedure typically involves:
- Investigation of the concern, gathering the facts before any decision is made.
- Written notification to the employee, setting out the allegation and giving enough detail to respond.
- A hearing at which the employee has the right to respond and, in most jurisdictions, the right to be accompanied.
- A decision, communicated in writing, with reasons.
- The right of appeal against the outcome, heard by someone not previously involved.
Outcomes range from no action, through verbal and written warnings, to dismissal in serious cases. The step taken should be proportionate to the issue, and minor misconduct should not jump straight to dismissal without a prior warning pattern unless the conduct is gross misconduct.
When Grievance Procedures Apply
A grievance procedure is used when an employee raises a concern they cannot resolve informally with their manager. Grievances commonly cover workplace relationships, bullying or harassment, pay or contract issues, working conditions, and discrimination complaints.
A fair grievance procedure usually follows:
- The employee raises the grievance in writing, setting out the concern and what outcome is sought.
- The organisation acknowledges the grievance and arranges a hearing within a reasonable timeframe.
- At the hearing the employee sets out the concern. They have the right to be accompanied where local law provides for this.
- The organisation investigates as needed, then issues a written response with its decision and any action being taken.
- The employee has the right of appeal if they are not satisfied.
Some grievances - particularly those involving bullying, harassment, discrimination or whistleblowing - may need to be handled under a specific policy with additional protections.
Running Disciplinary and Grievance Procedures Fairly
Fairness is the core principle. Both procedures need to be applied consistently across the organisation, with the same standards regardless of seniority or relationship. The person running the hearing should be impartial, and anyone involved in an investigation should not also decide the outcome or hear an appeal.
Timing matters. Delays can be unfair to the employee and can weaken the organisation's position. Most guidance suggests acting without unreasonable delay, while still allowing time to investigate and prepare properly.
Records should be kept at every stage: notes from investigations, written allegations, hearing minutes, decisions with reasons, and appeal outcomes. These records contain personal data and are retained in line with the organisation's data protection arrangements.
Disciplinary and Grievance Procedures in the Management System
These procedures are sometimes treated as purely HR concerns, but they sit inside the management system like any other process. They affect the organisation's ability to meet legal requirements, manage risk, maintain a safe workplace and retain people. Where a grievance relates to bullying, harassment or discrimination, it may connect to H&S duties and equality obligations. Where a disciplinary issue relates to information security or quality, it connects to those management systems too.
The records produced feed into wider trend analysis. Repeated grievances about the same manager, or disciplinary issues clustering in one area, are signals worth reviewing at management level.
Bullying, harassment and health-related grievances need extra care. Bring in occupational health where relevant, take the concern seriously from the outset, and do not let an investigation drag. Bad handling of a grievance can turn a fixable problem into a tribunal case.
From a management system perspective the core requirement is that people are treated fairly and consistently. ISO 45001 references workers being protected from reprisal when raising concerns. ISO 37001 anti-bribery specifically requires a mechanism for raising concerns in good faith.
A clear written procedure, applied the same way every time, is what makes this work - both for legal compliance and for the trust of the workforce.
We stick closely to the ACAS Code template. Investigation, hearing, decision in writing, appeal. One manager handles the investigation, another handles the hearing, and someone uninvolved handles the appeal.
Records are the thing people skimp on. Every meeting has notes, every decision has written reasoning. If a case escalates, those records are what protect the business and the employee.
These procedures are there to help, not to catch anyone out. Most issues can be resolved with a proper conversation long before a formal process is needed. When a formal process is needed, keep it simple, do it by the book, and treat the person on the other side of the table the way you would want to be treated.
Practical Compliance Guidance
Section 3.1 of the IMS1 IMS Manual covers the management of staff, including how disciplinary and grievance matters are handled alongside the wider employee lifecycle.
A focused set of alphaZ documents supports running disciplinary and grievance procedures consistently:
| alphaZ document | How to use it |
|---|---|
| ISO 9001, 14001 & 45001 IMS Toolkit | The complete toolkit for an integrated management system covering quality, environment and health and safety. |
| P-58 Grievance Policy | Policy setting out how employees can raise a formal grievance and how it will be investigated and resolved. |
| F-HR10 Grievance Report Form | Form for employees to submit a formal grievance in writing, capturing the concern and the outcome sought. |
| F-HR14 Employee Disciplinary Record | Record of disciplinary action taken, including the allegation, investigation, hearing outcome and any warnings issued. |
| GEN1-1 General Staff Handbook | Consolidated staff handbook setting out expected standards of conduct and referring to the disciplinary and grievance procedures. |
Note - all the above files can be downloaded with an alphaZ subscription.
Frequently Asked Questions
UK Legislation
The following UK legislation is relevant to disciplinary and grievance procedures. Organisations outside the UK should identify the equivalent legislation applicable in their jurisdiction.
- Employment Rights Act 1996
- Employment Relations Act 1999
- Equality Act 2010
- Public Interest Disclosure Act 1998
- Data Protection Act 2018
