Disciplinary and grievance procedures

When a workplace issue escalates, a conduct concern, a breakdown in behaviour, or a formal complaint, it’s rarely “just paperwork”. The way you handle it affects morale, retention, your culture, and (in the worst cases) legal risk.

The HR Dept helps employers manage disciplinaries (misconduct) and grievances with a clear, fair process and the right documentation at every stage. We can support you from the first conversation through to investigations, meetings, outcomes and appeals, and we’ll help managers stay consistent, confident and professional throughout.

Support we provide includes:

• Clear disciplinary and grievance procedures managers can follow
• Independent investigation support (ideal for SMEs without internal capacity)
• Help preparing letters, evidence packs, meeting notes and outcome documentation
• Coaching support before and during hearings
• Mediation support where relationships or communication have broken down

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What this page covers

• Disciplinary procedure steps (misconduct)
• Investigations
• Right to be accompanied
• Outcomes & warnings
• Appeals
• Grievance procedure steps
• Templates
• FAQs

What is a disciplinary procedure?

A disciplinary procedure is a formal process employers use to deal with misconduct, that is, unacceptable or inappropriate behaviour at work.

Not every issue should jump straight to a formal hearing. For lower-level conduct issues, an early, structured conversation can resolve concerns quickly and protect the working relationship.

Where a matter is serious (or informal steps haven’t worked), a formal disciplinary procedure helps you handle the issue fairly, consistently, and with an appropriate route to appeal.

A quick note on fairness (and why the process matters)

A fair disciplinary or grievance process isn’t just best practice, it’s protection.

The Acas Code of Practice sets out the key principles employers are expected to follow when handling discipline and grievance matters. And if a case ends up in an employment tribunal, an unreasonable failure to follow the Acas Code can lead to any award being adjusted by up to 25%.

That’s why we focus on two things:

1. a process that’s clear and consistent, and
2. documentation that stands up to scrutiny.

Important: capability (performance/ill-health) is handled separately

Many handbooks keep capability/performance separate from disciplinary (misconduct).

• Disciplinary = behaviour/misconduct
• Capability = ability to do the job (performance or ill-health capability)

If you need help with performance management or a capability route, we can support that too, but it should sit under a separate capability/performance procedure (even where the same fairness principles apply).

What your disciplinary policy should include

A workable disciplinary approach starts with a written policy that employees and managers can understand. At a minimum, it should be clear about:

• what the organisation considers unacceptable conduct
• the stages you may follow (investigation, hearing, outcome, appeal)
• potential outcomes (for example, warnings or dismissal where appropriate)
• the employee’s right to be accompanied at formal hearings
• the employee’s right to appeal and who hears that appeal
• how records, confidentiality and consistency will be handled

For many SMEs, the simplest approach is to include this within a staff handbook (or employee policies pack) and ensure new starters are directed to it.

Need your disciplinary and grievance procedures written or updated?

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Disciplinary procedure: step-by-step guide for employers

Below is a practical, manager-friendly structure you can apply consistently across cases.

Step 1: Consider whether the issue can be resolved informally

Where appropriate (particularly for early-stage performance concerns), a structured conversation and agreed improvement plan may be the most effective first step.

Step 2: Investigate the facts

A fair process begins with a fair investigation. This usually includes:

• gathering relevant evidence (messages, logs, documents, policies)
• speaking with witnesses (where appropriate)
• documenting what was said and what was found
• keeping the roles clear (ideally the investigator is not the hearing chair)

Step 3: Confirm the allegation and invite the employee to a hearing (in writing)

Once there is a case to answer, write to the employee and clearly set out:

• what the concern/allegation is
• what evidence will be discussed (share it in advance)
• the date, time, location (or video details) of the hearing
• the right to be accompanied (and who can act as a companion)
• the potential outcomes (so there are no surprises)

Step 4: Hold the hearing fairly

At the hearing, the aim is to allow the employee a fair opportunity to respond.

• explain the concern and evidence
• hear the employee’s response and any evidence they bring
• ask fair questions
• keep notes / minutes
• avoid rushing a decision if more information is needed

Step 5: Decide on the outcome and confirm it in writing

After the hearing, consider the evidence and decide what action is appropriate. Outcomes might include:

• no formal action (or informal guidance)
• a warning (first / final, depending on severity and history)
• dismissal in serious cases (following a fair process)

Any outcome should be confirmed in writing, along with the right of appeal.

Step 6: If you issue a warning, make it specific and usable

A warning letter should be clear about:

• what the issue was
• what needs to change and by when
• what happens if the situation doesn’t improve
• how long the warning remains live (if your policy states this)
• the appeal process

Step 7: Provide an appeal route

An appeal is a key part of a fair process. It should be heard by someone impartial where possible, and the outcome confirmed in writing.

Investigations into staff misconduct (where employers often need support)

Investigations are one of the most sensitive parts of the process, and one of the easiest places to create unnecessary risk.

We can support you by:

• Structuring the investigation (what you need to establish)
• Conducting interviews professionally and sensitively
• Gathering and documenting evidence
• Producing a clear investigation report for the hearing chair
• Advising on next steps (including whether there’s a case to answer)

This is particularly valuable for SMEs where maintaining neutrality is difficult internally.

Ask about investigation support

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Right to be accompanied: what employers need to know

Employees have a right to be accompanied at certain disciplinary and grievance hearings. In practice, companions are usually:

• a colleague, or
• a trade union representative (or official).

It’s good practice to set expectations in the invite letter so everyone understands:

• the companion’s role during the hearing
• how questions will be handled
• whether the companion can confer privately with the employee

Grievance procedure: step-by-step

A grievance is when an employee raises a concern or complaint at work, for example about working conditions, bullying, discrimination, workload, pay, or treatment by a manager.

A clear grievance process helps you respond consistently and stop issues escalating.

Step 1: Encourage early resolution where appropriate

Where possible, an early conversation can resolve misunderstandings quickly.

Step 2: Receive the grievance and arrange a meeting

If the matter is formal, the employee should normally put it in writing. Arrange a meeting to understand:

• what the issue is
• what outcome the employee is looking for
• what evidence may need to be considered

Step 3: Investigate where needed

If facts are disputed or allegations are serious, an investigation may be required before you reach a conclusion.

Step 4: Decide the outcome and confirm it in writing

Confirm whether the grievance is upheld (in full or in part), what actions will be taken, and expected timescales.

Step 5: Offer an appeal route

If the employee is not satisfied, they should have an opportunity to appeal.

What if a grievance is raised during a disciplinary?

This comes up regularly. Sometimes the right approach is to pause the disciplinary to deal with the grievance first; sometimes you can run both in parallel, especially if the issues are connected (for example, concerns about the investigator or hearing chair).

HR Dept practical point: the deciding factor is whether the grievance affects the fairness of the disciplinary process. We’ll help you choose the safest approach.

Mediation (when conflict is the real problem)

Not every workplace issue needs to become a formal process. If the core problem is relationship conflict, communication breakdown, or entrenched disagreement, mediation can be an effective route, but it relies on both parties engaging.

We can advise on whether mediation is appropriate and help you structure next steps.

How The HR Dept can help

Whether you need robust policies, support on a live case, or an independent investigator, we’ll help you handle the situation fairly and move forward with confidence.

We can help you with:

• Writing or updating disciplinary and grievance policies and templates
• Helping managers apply the process consistently and professionally
• Investigation support (including independent investigations)
• Drafting letters, evidence packs, meeting notes, and outcomes
• Coaching support before/during hearings
• Appeals guidance and documentation
• Mediation support where appropriate

Find your local HR Dept office

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Get support with disciplinaries and grievances

If you want a process your managers can follow, documentation you can rely on, and a calmer route through difficult situations, we can help.

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