AI Generated Disciplinary and Grievance Procedures for use in the United Kingdom
PDF & Word - 2026 Updated

Employees have the right not to be unfairly dismissed under section 94 of the Employment Rights Act 1996. These procedures are designed to ensure that any dismissal is fair in terms of both procedure and substance.

Under the Equality Act 2010, employees are protected from discrimination, harassment and victimisation on the grounds of protected characteristics including disability, pregnancy, maternity and other characteristics. The company will make reasonable adjustments for employees with disabilities in line with section 20 of the Equality Act 2010.

Employees have the right to raise grievances without fear of victimisation. Any detriment suffered as a result of raising a grievance in good faith may constitute victimisation under section 27 of the Equality Act 2010.

Failure to follow the ACAS Code of Practice on Disciplinary and Grievance Procedures may result in an uplift or reduction of up to 25% in any compensation awarded by an employment tribunal, as provided for under section 207A of the Trade Union and Labour Relations (Consolidation) Act 1992.

Employees have a statutory right to be accompanied at formal disciplinary and grievance meetings by a companion under section 10 of the Employment Relations Act 1999. The companion may be a colleague, a trade union representative or an official employed by a trade union.

In accordance with section 1 of the Employment Rights Act 1996, the company will provide employees with a written statement of employment particulars that references these disciplinary and grievance procedures.

These disciplinary and grievance procedures are designed to provide a clear framework for addressing workplace misconduct and employee concerns, ensuring a supportive and equitable environment for all staff.

Tech Innovations Ltd is committed to a fair and consistent approach in applying these procedures.

The procedures are compliant with the ACAS Code of Practice on Disciplinary and Grievance Procedures, the Employment Rights Act 1996 and the Equality Act 2010.

This document is governed by British law.

All procedures will be conducted in a manner that ensures natural justice, providing all parties with a fair opportunity to present their case without bias or prejudice.

Decision makers shall have no prior involvement in the case to ensure impartiality.

The company shall comply with the ACAS Code of Practice on Disciplinary and Grievance Procedures.

Confidentiality shall be maintained throughout all stages of the procedures.

All matters shall be dealt with in a timely manner.

Employees have the right to be accompanied at formal meetings.

The company will make reasonable adjustments under the Equality Act 2010 for any employee who has a disability, mental health condition, is pregnant or on maternity leave, or has caring responsibilities. This includes adjusting time limits, providing additional support during meetings, allowing breaks, or changing the format of meetings where appropriate. For disciplinary issues related to long-term sickness absence, the company will consider whether any policy or practice (PCP) puts the disabled employee at a disadvantage and whether the absence is a consequence of the disability (discrimination arising from disability under section 15 of the Equality Act 2010). Adjustments may include obtaining medical advice, considering alternative roles, or modifying procedures before any formal action is taken.

These procedures apply to all employees and workers of Tech Innovations Ltd.

The procedures cover disciplinary matters related to misconduct and grievances concerning working conditions.

The procedures also cover performance related to conduct, discrimination or harassment.

The procedures exclude issues like redundancy or performance unrelated to conduct.

Contractors are not covered by these procedures.

These procedures become effective from 2024-01-01.

Misconduct refers to any behaviour or action by an employee that breaches the company's standards of conduct, such as unauthorised absences, minor insubordination, or failure to follow reasonable instructions, but which does not warrant summary dismissal.

Gross misconduct is a serious breach of the employment contract, including theft, violence, serious negligence, or gross insubordination, which may justify immediate dismissal without notice.

Grievance is a complaint made by an employee concerning their employment, such as unfair treatment, working conditions, or breaches of policy, which is raised formally or informally with the employer.

Informal resolution involves discussing and addressing a concern or grievance directly with the relevant manager or colleague in a non-formal manner, aiming to resolve issues without escalating to a formal procedure.

Companion is a work colleague or trade union representative chosen by the employee to provide support and advice during formal disciplinary or grievance meetings. Family members are not permitted as companions.

The informal resolution process encourages open and honest dialogue between employees and their managers to address minor concerns promptly and constructively, aiming to resolve issues without the need for formal escalation.

Low-level performance concerns, minor interpersonal misunderstandings and absence or lateness explanations are eligible for informal resolution.

The company shall aim to complete informal resolutions without unreasonable delay.

The issue shall escalate to the formal procedure if it persists after discussion, if the employee requests the formal process or if the time limit is exceeded.

The company shall appoint an impartial investigator who has HR training and investigative experience to conduct investigations into alleged misconduct. Investigations must be thorough, timely, neutral and conducted without unreasonable delay. The investigator shall gather all relevant evidence, including from the employee where appropriate, and maintain neutrality.

The company shall aim to complete investigations without unreasonable delay.

The company may suspend the employee on full pay during the investigation only where necessary to protect the investigation, the business or other staff. Suspension must not be used as a sanction.

The company may use external investigators for certain cases.

The investigator shall gather evidence using document review, digital data collection (in compliance with UK GDPR) and witness statements.

Witnesses shall have the right to be accompanied during interviews.

Information shall be kept confidential, shared only as necessary and in compliance with UK GDPR and the Data Protection Act 2018.

This section becomes effective from 2024-01-01.

Following a thorough and impartial investigation conducted without unreasonable delay, the company shall provide the employee with written notification of the disciplinary allegations. The notification shall be sent as soon as practicable and shall include all evidence and witness statements to be relied upon so that the employee has a full opportunity to prepare a response.

The written notification shall include the nature of the allegations in detail, all evidence or information supporting the allegations (provided in advance), the employee's right to be accompanied at the disciplinary meeting by a colleague or trade union representative, the date, time, and location of the meeting (with at least 48 hours' notice), and a statement informing the employee that the meeting could result in disciplinary action up to and including dismissal. The employee must be given a reasonable opportunity to respond to all allegations before any decision is made. The burden of proof shall be on the balance of probabilities.

The employee shall have the right to call relevant witnesses and to question evidence presented.

The company shall notify the employee of the disciplinary decision in writing without unreasonable delay and, in any event, normally within 5 working days after the meeting. The decision letter shall explain the reasons and the right of appeal.

The company shall schedule the disciplinary meeting without unreasonable delay after notification and shall provide the employee with at least 48 hours' written notice. The employee has the right to see all evidence in advance of the meeting.

The employee shall have the right to be accompanied at the disciplinary meeting by a work colleague or a trade union representative (but not a family member).

Disciplinary meetings shall be held in a private location at the company's premises or via video conference if remote attendance is necessary.

The meeting shall be conducted in a structured format where the employer presents the allegations first, followed by the employee's full opportunity to respond to all allegations before any decision is reached. The employee has the right to call witnesses.

Discussions shall be held in a fair and open manner, allowing questions from both sides. The burden of proof is on the balance of probabilities.

Notes shall be taken by a designated note-taker, shared with all parties for accuracy, and retained in accordance with the Record Keeping section.

The employee shall have the right to present their case, call witnesses and respond to all allegations during the disciplinary meeting. The meeting may be adjourned if the employee requires more time to respond, new evidence arises, a witness is unavailable, or due to health, disability or wellbeing issues (with reasonable adjustments made).

All evidence must be provided to the employee in advance. No new evidence can be introduced without prior agreement and, if necessary, an adjournment to allow the employee time to consider it.

During the meeting evidence can be presented verbally or through documents, with an opportunity for questioning.

The company shall require minutes or records of the disciplinary meeting.

The agenda for the disciplinary meeting shall include an introduction and purpose of the meeting, presentation of allegations and evidence, the employee's response and presentation of their case (including witnesses), discussion of any mitigating factors, an outline of possible outcomes and next steps, and adjournment if needed.

Following the disciplinary meeting the company may impose a verbal warning, a written warning, a final written warning, demotion or dismissal. Dismissal must be a reasonable response in all the circumstances.

A verbal warning is given for minor misconduct and serves as a reminder to improve behavior. It shall remain active on an employee's record for 6 months.

A written warning is issued for repeated minor issues or more serious misconduct, documented in the employee's file. It shall remain active on an employee's record for 12 months.

A final written warning indicates that further misconduct may result in dismissal. It shall remain active on an employee's record for 24 months or such other period as is reasonable in the circumstances.

Previous disciplinary records can only be considered where they are relevant, live and related to the current allegations. Spent warnings must be disregarded.

Demotion may be applied for serious performance failures related to conduct, reducing the employee's role and responsibilities.

Dismissal (with or without notice) is appropriate only for gross misconduct or where prior warnings have been given and there is no improvement. The company will consider all circumstances, including mitigating factors and whether dismissal is within the range of reasonable responses.

The employee shall have the right to appeal all disciplinary actions.

The progressive steps do not apply where the misconduct is so serious as to constitute gross misconduct, in which case summary dismissal may be appropriate.

The company shall apply an expedited procedure for handling gross misconduct allegations without unreasonable delay. This shall include suspension on full pay only where necessary, a thorough investigation, a disciplinary hearing at which the employee may be accompanied and has the right to see all evidence in advance, and the right of appeal.

The company may apply summary dismissal (without notice or pay in lieu) only in cases of confirmed gross misconduct where dismissal is a reasonable response.

This section becomes effective from 2024-01-01.

The following are examples of gross misconduct (this list is non-exhaustive): theft or fraud, violence or bullying, gross negligence, serious breach of confidentiality, intoxication at work, serious insubordination, discrimination or harassment, or any other conduct that fundamentally breaches the contract of employment.

The employee shall have the right to appeal all disciplinary decisions made by the employer.

The employee should submit a written appeal to the HR department, stating the grounds for the appeal (such as new evidence, procedural unfairness or that the penalty is too severe), without unreasonable delay and normally within 5 working days of receipt of the decision.

The company shall schedule the appeal hearing without unreasonable delay, normally within 10 working days after the appeal is lodged, and shall provide the employee with at least 48 hours' notice in writing. The appeal shall be heard by a manager more senior than the original decision maker who has not been previously involved.

The employee shall have the same right to be accompanied at the appeal hearing as in the initial meeting.

The company shall confirm the final appeal decision in writing to the employee without unreasonable delay and normally within 5 working days of the hearing, either upholding, modifying, or overturning the original decision. The appeal decision is final.

The company shall keep records of all appeal hearings and decisions in accordance with the Record Keeping section.

Possible outcomes of the appeal decision are to uphold the original decision, overturn it and reinstate the employee, or substitute with a lesser sanction such as a warning.

Employees shall submit formal grievances in writing, either by email to hr@techinnovations.co.uk or by hand-delivering a letter to the HR department. Grievances may be raised during employment or after employment has ended.

The HR Manager (or another appropriate impartial person) shall be the initial recipient of formal grievances. If the grievance concerns the HR Manager or the grievance procedure itself, it shall be referred to a more senior manager or an external independent party.

Formal grievance submissions shall include the nature of the grievance, relevant dates and times, names of any individuals involved, and any supporting evidence.

The company shall acknowledge receipt of a formal grievance without unreasonable delay and normally within 5 working days.

Time limits for raising grievances align with statutory claims periods. For example, discrimination claims under the Equality Act 2010 must normally be brought in an employment tribunal within 3 months less one day from the date of the act complained of. The company encourages grievances to be raised as soon as possible.

A senior manager not previously involved in the matter shall be the impartial decision maker for formal grievances.

The company shall communicate the decision to the employee in writing without unreasonable delay and normally within 5 working days after the meeting, with reasons and information about the right to appeal.

This grievance procedure becomes effective from 2024-01-01.

The company shall appoint an impartial and independent investigator for formal grievances. The investigator shall have had no prior involvement. Investigations must be thorough, timely, neutral, and conducted without unreasonable delay. Detailed steps shall include: identifying the issues, gathering all relevant evidence (including from the grievant), interviewing all relevant witnesses, reviewing relevant documents and policies, analysing the facts, and producing a report with findings.

The scope of the investigation into formal grievances shall include gathering evidence from relevant parties, reviewing company policies (including this procedure and the Equality Act 2010 where discrimination or harassment is alleged), and assessing the validity of the grievance claims.

The investigation shall commence without unreasonable delay and be completed without unreasonable delay. Any extension beyond normal timescales must be justified and communicated to the employee.

The company shall notify the employee in writing of the meeting date (with at least 48 hours' notice), allow accompaniment by a colleague or trade union representative, present the case, discuss the grievance fully, and outline next steps when conducting the formal grievance meeting. The employee must have the opportunity to respond to all evidence before any decision is made.

The employee shall have the right to be accompanied at grievance meetings by a work colleague or a trade union representative. The companion may address the meeting, ask questions and confer with the employee.

The meeting may be adjourned if new evidence arises, further investigation is required, or due to the employee's health, disability or request for reasonable adjustment.

The employee shall have an explicit right to appeal any grievance decision. The appeal must be submitted in writing, stating the grounds, without unreasonable delay and normally within 5 working days of receipt of the decision (or such longer period as is reasonable, for example where the grievance concerns discrimination).

The company shall schedule the appeal hearing without unreasonable delay, normally within 10 working days after the appeal is lodged, and provide at least 48 hours' written notice. The appeal shall be heard by a more senior manager or director who has not been previously involved and is impartial.

The company shall communicate the appeal decision to the employee in writing without unreasonable delay and normally within 5 working days of the hearing, with reasons. The appeal decision is final.

The employee shall be allowed to be accompanied at the grievance appeal hearing by a colleague or trade union representative.

The company shall provide for the possibility of independent involvement in the grievance appeal process if needed (for example, where the grievance concerns senior management or the procedure itself).

Where a grievance concerns discrimination, harassment or victimisation, the company will treat it with particular seriousness, investigate in line with the Equality Act 2010, and take appropriate remedial action. Protection against victimisation is provided under section 27 of the Equality Act 2010.

Employees have the statutory right to be accompanied at formal disciplinary and grievance meetings under section 10 of the Employment Relations Act 1999. The companion must be a colleague, a trade union representative or an official employed by a trade union. Family members are not permitted.

The company shall allow employees to be accompanied by a work colleague at formal disciplinary and grievance meetings.

The company shall allow employees to be accompanied by a trade union representative at formal disciplinary and grievance meetings.

The accompanying person may address the meeting on the employee's behalf, confer with the employee during the meeting, and provide support and advice to the employee but may not answer questions on the employee's behalf.

All discussions, documents, and information related to disciplinary and grievance procedures will be kept confidential, shared only with those who have a legitimate need to know, and processed in accordance with UK GDPR, the Data Protection Act 2018 and ACAS guidance. Overly restrictive confidentiality agreements will not be required.

Information can be shared where legally required, for example with regulators, in connection with legal proceedings, or where there is a safeguarding concern.

Electronic records will be stored securely with appropriate technical and organisational measures including password protection and encryption.

The procedures shall comply with UK GDPR and the Data Protection Act 2018. Employees have data subject rights including the right to access their personal data, request rectification, erasure (subject to legal obligations), restriction of processing, and to complain to the Information Commissioner's Office.

Any alleged breaches of confidentiality or data protection during the processes shall be investigated and reported as required by law.