Disciplinary and Grievance

For employers, fairness is not just a matter of good practice. The ACAS Code of Practice is the main benchmark for disciplinary and grievance procedures, and Employment Tribunals take it into account when deciding whether an employer acted reasonably. Where the Code has been unreasonably ignored, compensation can be increased or reduced by up to 25%.

A fair disciplinary process will usually involve:

• an investigation
• written notification of the concerns
• a formal hearing
• a written outcome
• the right to appeal

The employee should know the allegations, the possible consequences and the evidence being relied on before any decision is made. Capability and performance issues also need structure and consistency, particularly where the employer may later need to justify warnings or dismissal. Where dismissal is being considered, the process is likely to come under closer scrutiny.

Suspension can be appropriate in some cases, but it should be treated as a neutral step rather than a punishment. It should only be used where there is a real reason for it, should usually be on full pay, and should be kept under review.

Investigations also need care and rushed or one-sided investigations can create problems even before the hearing takes place. In more sensitive cases, it may be sensible to separate the investigator and the decision-maker, or to consider external support where impartiality may later be questioned.

A grievance is often the point at which an internal concern becomes formal and may involve:

• bullying
• discrimination
• victimisation
• pay disputes
• working conditions
• broader complaints about treatment at work

If it is not dealt with properly, the employer may face a wider dispute than the one first raised. The response matters as much as the complaint itself: prompt meetings, fair investigation, a written outcome and the right to appeal all help demonstrate that the issue has been taken seriously.

One of the more difficult situations arises when an employee raises a grievance during a disciplinary or capability process. Depending on the circumstances, the employer may pause the original process or deal with both together if the issues are closely connected.

This is often a point where early legal advice is particularly useful, because decisions made at that stage can affect fairness, timing and the employer’s position if the matter later escalates.

Employers are usually in a stronger position where procedures are not only written down but also used consistently. Similar cases should be handled in a similar way unless there is a clear reason to do otherwise, and decisions should be supported by proper records.

That includes:

• investigation notes
• hearing documents
• witness evidence
• outcome letters
• appeal records

A good paper trail often makes the difference between a defensible process and one that is later hard to explain if the matter proceeds to an Employment Tribunal.

Policies also matter and disciplinary and grievance procedures should be easy to find, up to date and reflected in wider workforce documentation such as the staff handbook. Manager training is equally as important, especially where hearings are being led by line managers who may not run these processes often.

Not every formal process ends with dismissal or a complete breakdown in the relationship. Some end with no action, an informal resolution, a warning, an appeal or a managed improvement plan, or move into settlement discussions, particularly where trust has broken down or the risks of continuing are becoming disproportionate.

Appeals are important as a further opportunity to ensure fairness, evidence and outcome, and they can matter later if the employer needs to show that the process was reasonable overall.