# Disciplinary and Grievance Procedure: [Organisation name] > A written procedure for handling conduct and performance concerns > (disciplinary) and concerns raised by workers (grievances): informal > resolution, fact-finding, written notice, a meeting with the right to > be accompanied, a written decision and an appeal. The steps follow > the UK Acas Code of Practice on disciplinary and grievance procedures > (published 11 March 2015, in force as of October 2026), with dated EU > and US pointers for organisations elsewhere. Replace every > `[bracketed]` value and every row marked *Example*. This is a > documentation format, not legal advice: check the current official > text and ask a qualified employment adviser before you adopt or apply > it. ## Contents 1. Purpose and principles 2. Scope 3. Informal resolution first 4. Disciplinary procedure 5. Grievance procedure 6. Timescales 7. Legal pointers (dated examples, October 2026) 8. Records and confidentiality 9. Case log 10. Standard and licence note ## Document control | Field | Value | |---|---| | Document ID | [HR-POL-007] | | Version | [1.0] | | Status | [Draft / Approved] | | Owner | [Head of People, @name] | | Approvers | [Managing director, worker representative or union] | | Last updated | YYYY-MM-DD | | Next review | YYYY-MM-DD (annual, and when the Acas Code or the law changes) | | Applies to | [Employees and workers in: countries, entities] | | Reference model | Acas Code of Practice on disciplinary and grievance procedures (2015) | ### Revision history | Version | Date | Author | Change | |---|---|---|---| | 1.0 *(Example)* | YYYY-MM-DD | [@owner] | First approved procedure | | [1.1] | YYYY-MM-DD | [@name] | [Updated for a new Acas Code, if issued] | ## 1. Purpose and principles This procedure helps [Organisation name] deal with concerns about conduct or performance, and with concerns workers raise, in a fair, prompt and consistent way. It applies these principles, which mirror paragraph 4 of the Acas Code: - Raise and deal with issues promptly, without unreasonable delay. - Act consistently: similar cases get similar treatment. - Find out the facts before any decision. - Tell the person what the concern is and give them a chance to put their side before a decision is made. - Allow the person to be accompanied at formal meetings. - Allow an appeal against any formal decision. - Make reasonable adjustments for disabled people and take care to avoid discrimination at every step. - Keep matters confidential, sharing details only with those who need them. Poor performance may be handled under this procedure or under a separate capability process (`hr/performance-improvement-plan`); the same fairness principles apply to both (Acas Code, paragraphs 1 and 19). ## 2. Scope | Covered | Handled elsewhere | |---|---| | Misconduct and gross misconduct | Whistleblowing and protected disclosures: `compliance/whistleblowing-policy` | | Performance concerns where informal support has not worked | Redundancy and the end of fixed-term contracts | | Individual grievances about work, colleagues or management | Collective grievances raised by a recognised union (Acas Code, paragraph 47) | | Appeals against formal outcomes | Probation reviews: [state the probation process] | ## 3. Informal resolution first Managers and workers should try to resolve concerns informally first, for example in a one-to-one meeting, with mediation or with a facilitated conversation. An informal conversation is not a disciplinary sanction and is not recorded as one. Move to the formal procedure when the matter is serious, when informal steps have not worked, or when the worker asks for it. ```mermaid flowchart TD A["Concern raised"] --> B{"Can it be resolved informally?"} B -->|"Yes"| C["Informal conversation or mediation, note kept"] B -->|"No or not resolved"| D["Fact-finding investigation"] D --> E["Written invitation with evidence and right to be accompanied"] E --> F["Formal meeting"] F --> G["Written decision"] G --> H{"Appeal lodged?"} H -->|"Yes"| I["Appeal meeting with a different manager"] H -->|"No"| J["Case closed, record kept"] I --> J ``` ## 4. Disciplinary procedure ### 4.1 Establish the facts An investigating officer, who is not the decision maker where the size of the organisation allows, gathers the facts without unreasonable delay (Acas Code, paragraphs 5 to 8). An investigation meeting is for gathering facts only and does not itself lead to a sanction. Suspension on full pay is used only where needed (for example, to protect evidence or people), is kept as short as possible, is reviewed every [7] days and is not a sanction. ### 4.2 Inform the worker If there is a case to answer, the worker receives a written invitation (paragraphs 9 and 10) that states the allegation, its possible consequences, the evidence (normally with copies of witness statements), the date, time and place of the meeting, and the right to be accompanied. Allow reasonable time to prepare: [at least 3 working days]. ### 4.3 Hold the meeting At the meeting (paragraphs 11 and 12), the manager explains the concern and goes through the evidence; the worker can respond, ask questions, present evidence and call relevant witnesses (give advance notice of witnesses). ### 4.4 The right to be accompanied Workers have a statutory right in Great Britain to be accompanied at a disciplinary or grievance hearing (Employment Relations Act 1999, section 10; Acas Code, paragraphs 13 to 17) by: - a fellow worker, - a trade union representative certified by the union as competent, or - a full-time trade union official. The companion may address the meeting, put the worker's case and confer with the worker, but may not answer questions for them. If the companion cannot attend, the meeting is postponed to a reasonable time the worker proposes, within five working days of the original date. [Organisation name] will also consider requests to bring another companion as a reasonable adjustment. ### 4.5 Decide and confirm in writing The decision maker decides whether action is justified and confirms it in writing without unreasonable delay (paragraphs 18 to 22). | Outcome | Typical use | Active for | |---|---|---| | No action or informal note | Case not proven, or minor | Not recorded as a sanction | | First written warning | Misconduct, or performance below standard | [6] months | | Final written warning | Further misconduct during a live warning, or serious first offence | [12] months | | Dismissal with notice | Further misconduct during a live final warning | Not applicable | | Dismissal without notice | Gross misconduct, after a fair process (paragraphs 23 and 24) | Not applicable | Each warning states the problem, the improvement needed, the timescale, the support offered and what may follow if there is no improvement. Only [named role] may decide on dismissal. Examples of gross misconduct at [Organisation name]: theft or fraud, physical violence or bullying, deliberate damage to property, serious breach of health and safety rules, serious negligence causing unacceptable loss or damage, being unfit for work through alcohol or illegal drugs, and serious breach of the information security policy. The list is not exhaustive. ### 4.6 Appeal The worker may appeal in writing within [5 working days] of the decision, stating the grounds. The appeal is heard without unreasonable delay by a manager not previously involved, where possible, and the worker may be accompanied (paragraphs 26 to 29). The appeal outcome is final within this procedure and is confirmed in writing. ## 5. Grievance procedure 1. **Raise it in writing** with the line manager, or with [the next manager or People team] if the grievance is about the line manager (Acas Code, paragraph 32). Say what happened, any informal steps already tried and the outcome sought. 2. **Meeting:** a meeting is held without unreasonable delay (target [10 working days]) so the worker can explain the grievance. The right to be accompanied applies (paragraphs 33 to 39). 3. **Investigation:** further fact-finding where needed, with the meeting adjourned if necessary. 4. **Decision:** a written decision explaining what will be done, if anything, and the right of appeal (paragraph 40). 5. **Appeal:** in writing within [5 working days] to a more senior manager not involved before, heard without unreasonable delay, with the outcome confirmed in writing (paragraphs 41 to 45). If a worker raises a grievance during a disciplinary process, the disciplinary process may be paused while the grievance is dealt with, or both may be handled together where they are related (paragraph 46). ## 6. Timescales | Step | Target | |---|---| | Investigation starts after a formal concern | [5 working days] | | Notice before a formal meeting | [At least 3 working days] | | Written decision after the meeting | [5 working days] | | Appeal lodged after the decision | [5 working days] | | Appeal meeting after appeal lodged | [10 working days] | ## 7. Legal pointers (dated examples, October 2026) | Jurisdiction | Pointer | Official source | |---|---|---| | UK (Great Britain) | Acas Code of Practice (2015) under section 199 of the Trade Union and Labour Relations (Consolidation) Act 1992. Employment tribunals may adjust awards by up to 25% for an unreasonable failure to follow it. A draft updated Code was consulted on from 30 July to 23 September 2026. | https://www.acas.org.uk/acas-code-of-practice-on-disciplinary-and-grievance-procedures | | UK | The written statement of employment particulars must cover disciplinary and grievance procedures within two months of the start date. | https://www.gov.uk/employment-contracts-and-conditions/written-statement-of-employment-particulars | | EU | No single EU-wide disciplinary procedure: dismissal and disciplinary rules are national law and collective agreements. Check the national labour ministry and any works council rights. | National official sources | | US | Most employment is at will, but anti-discrimination and anti-retaliation laws, contracts, union agreements and state law still apply. A documented, consistent process is evidence of fair treatment. | https://www.eeoc.gov/ | ## 8. Records and confidentiality - Keep for each case: the allegation or grievance, investigation notes, invitations, meeting notes, decisions, appeal and outcome. - Give the worker copies of meeting notes. Recordings require the agreement of everyone present. - Retain case records for [period] after the warning expires or the case closes, then delete them securely. - Expired warnings are disregarded for future disciplinary decisions. ## 9. Case log | Case ID | Type | Opened | Investigator | Decision maker | Accompanied | Outcome | Appeal | Closed | |---|---|---|---|---|---|---|---|---| | DG-2026-004 *(Example)* | Disciplinary: repeated lateness to shifts | 2026-09-14 | [@ops-lead] | [@site-manager] | Yes, fellow worker | First written warning, 6 months | None | 2026-10-02 | | GR-2026-002 *(Example)* | Grievance: shift allocation | 2026-10-05 | [@people-partner] | [@head-of-ops] | Yes, union representative | Upheld in part: rota published 4 weeks ahead | None | 2026-10-21 | | [ID] | [Type] | YYYY-MM-DD | [@name] | [@name] | [Yes / No] | [Outcome] | [Outcome] | YYYY-MM-DD | ## Standard and licence note Based on the Acas Code of Practice on disciplinary and grievance procedures (published 11 March 2015) and the Acas consultation on a draft updated Code (30 July to 23 September 2026), both checked on 2026-10-30. Paragraph numbers refer to the 2015 Code; the wording here is original and does not reproduce the Code. Not legal advice: check the current official text and a qualified professional. Organisations and people in the examples are fictional. Template licence: MIT.