Looking for a fair and legally sound approach to handling workplace conduct or complaints? Below is a preview of the key opening clauses from a model Disciplinary and Grievance Policy, aligned with the Employment Rights Act 1996 and the ACAS Code of Practice. With Lex HR, you can instantly generate the full version - tailored to your business, up-to-date, and ready to use.
Disciplinary & Grievance Policy
1. Scope and Purpose
1.1 This policy applies to all employees. It sets out clear and fair procedures to address matters of conduct, performance, and complaints at work in line with the Employment Rights Act 1996 and the ACAS Code of Practice.
1.2 This policy covers two separate processes:
(a) Disciplinary Procedure: used to deal with misconduct or poor performance.
(b) Grievance Procedure: used by employees who wish to raise concerns or complaints about workplace issues.
1.3 Managers must follow this policy whenever initiating or responding to disciplinary or grievance issues. All employees should act in good faith and cooperate with the procedures set out below.
1.4 This policy aims to encourage open dialogue and timely resolution of problems. It is intended to ensure a lawful, transparent, and consistent approach to handling disciplinary matters and workplace complaints.
2. Key Principles
2.1 Fairness and Consistency
(a) Decisions must be made without bias and only after full and fair consideration of the facts.
(b) Managers responsible for disciplinary or grievance matters must act consistently by applying similar standards in similar cases, while taking account of relevant circumstances.
2.2 Confidentiality
(a) All proceedings must be kept confidential as far as reasonably possible.
(b) Managers, employees, and witnesses are expected to respect confidentiality and avoid disclosing information to those not involved in the process.
2.3 Timeliness
(a) Issues should be raised and dealt with promptly, while allowing sufficient time for proper investigations.
(b) Where this policy sets timescales, they may be varied if there is good cause and the employee is informed of reasons for any delay.
2.4 Right to Be Accompanied
(a) At every formal disciplinary or grievance meeting, employees have the right to be accompanied by a colleague or a certified trade union official.
(b) If an employee’s chosen companion is unavailable on the proposed date of a meeting, the employee can postpone the meeting by up to five working days.
2.5 No Detriment
(a) No employee will be penalised for using these procedures.
(b) If an employee believes they have suffered detriment for raising a grievance or assisting an investigation, they should raise this immediately using the grievance procedure.
3. Disciplinary Procedure
3.1 General Overview
(a) The disciplinary procedure addresses issues of misconduct or poor performance.
(b) Trivial or first-time issues may be handled informally where appropriate. More serious or repeated concerns require the formal process outlined below.
(c) The procedure has three main stages: investigation, disciplinary hearing, and outcome (including the possibility of appeal).
(d) Before any formal disciplinary meeting, employees will be informed in writing of the allegations, the basis for them, and the possible consequences.
3.2 Informal Action
3.2.1 Where shortcomings in conduct or performance are minor, a manager can address them through coaching, guidance, or a quiet word to highlight improvement needs.
3.2.2 The manager should create a brief note of any informal discussion, indicating what has been said, what improvements are necessary, and any agreed next steps.
3.2.3 If the issue is resolved through informal action, no formal sanction is applied. However, if informal steps fail or further problems arise, formal action should be taken.
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