Disciplinaries and Grievances

It is important for employers to ensure they follow a fair process when conducting either a disciplinary or grievance hearing as any mistakes could lead to a claim being brought by an employee.

Disciplinary Process

When should the disciplinary process be applied?

• If the employee’s conduct or performance is of concern, consider initiating the disciplinary process.
• If an employee has been with you for over 51 weeks

What process should be followed

It is advisable to follow the process outlined below as a minimum.  This is in line with the ACAS Code of practice and it can limit the risk of employee making a claim.

1. Investigate the allegations
2. If there is enough evidence to proceed to a disciplinary hearing, invite the employee in writing informing them of their right to be accompanied.
3. Hold the disciplinary hearing
4. Confirm outcome of disciplinary hearing in writing and advise the employee of their right of appeal
5. Hold the appeal meeting

Who should conduct the hearings?

Employers should ensure, wherever possible, that the investigation, disciplinary and appeal hearings are conducted by different people.  Also, the further the proceedings progress, the more senior the person conducting the meeting should be and so you do not want to task the managing director with the investigation. 

However, there are many small businesses which will need to conduct the disciplinary process and which do not have more than one or possibly two people who would be in a position to complete the necessary hearings.  In such instances, it is advisable that a HR Advisor is instructed to complete part of the disciplinary process on the employer’s behalf to ensure impartiality and a fair hearing.  If this apply to you, please contact our team on 01926 880728 or email us.

Each disciplinary is unique and you should seek professional advice on the circumstances you are faced with.

Grievance Process

What is a grievance?

A grievance can be any concern, problem or complaint that an employee raises with their employer.  Attempts should be made to try and resolve the grievance informally to begin with but if this is not possible, the employee should raise their grievance in writing.  If the employer has a grievance policy, it may state to whom a grievance needs to be sent to but if not, this should be raised with the employee’s line manager unless the grievance concerns them, in which case it should be submitted to another manager.

It is no longer the case that a failure to raise the grievance in writing prevents an employee bringing a tribunal claim about the matter. However, the employee may recover less compensation if they have not done so.

What process should be followed once a written grievance has been submitted?

It is advisable to follow the process outlined below as a minimum. This is in line with the ACAS Code of practice and it can limit the risk of employee making a claim

1. A meeting should be held to allow the employee to explain their grievance and how they think it should be resolved. The employee should be informed in advance of the time and place of the meeting and that they may bring a companion.
2. If the matter needs further investigation, the employer should consider adjourning the meeting and resuming it after the investigation has taken place.
3. Once the meeting and all necessary investigations are concluded, the employer should communicate its decision in writing without unreasonable delay, including details of any action it intends to take to resolve the grievance. Explain to the employee that they have the right to appeal against the decision reached.
4. Any appeal should be dealt with impartially at a hearing, which should be conducted by a manager who has not been previously involved. If the employer’s business is modest, it may wish to appoint an independent HR consultant to conduct the appeal hearing on its behalf. The employee should be informed in advance of the time and place of the appeal hearing and may bring a companion. The employer should communicate the final decision in writing without unreasonable delay.

If the employee proceeds to Tribunal without appealing, any compensation they are awarded may be reduced.

The above follows the minimum best practice and so in addition, you should follow your own procedures and obtain professional legal advice.

What happens if a grievance is raised once the disciplinary process has been engaged?

If the disciplinary issue and grievance are related, they can be dealt with concurrently.  However, if they are different, it is advisable to suspend the disciplinary procedure until the grievance has been concluded.

February 2011