What Is the Difference Between a Disciplinary and a Grievance?

 

Managing employees can sometimes involve difficult conversations. An employee may be accused of misconduct, or they may raise concerns about their manager, working conditions or the way they have been treated.

For employers, understanding the difference between a disciplinary and a grievance is essential. Although both involve formal workplace procedures, they serve different purposes and need to be handled appropriately.

In simple terms, a disciplinary procedure deals with concerns about an employee’s conduct or performance, while a grievance procedure deals with concerns raised by an employee about their work or treatment at work.

Getting the distinction right helps employers follow a fair process, maintain clear records and make informed decisions.

In this guide, Tick HR Solutions explains how disciplinary and grievance procedures work, when to use each one and what employers should consider when handling a workplace issue.

What is a disciplinary procedure?

A disciplinary procedure is used when an employer has concerns about an employee’s conduct, behaviour or, depending on the procedure, performance.

The purpose is to investigate the concerns, give the employee an opportunity to respond and decide what action, if any, is appropriate.

Examples of issues that may lead to disciplinary action include:

• Repeated lateness or unauthorised absence.
• Failure to follow reasonable workplace rules or instructions.
• Inappropriate behaviour towards colleagues or customers.
• Breaches of company policies.
• Misuse of company property or systems.
• Poor performance where a disciplinary process is appropriate under the employer’s procedures.
• Serious misconduct, which may require a more formal investigation.

Not every concern needs to become a formal disciplinary matter. Minor issues may be resolved through an informal conversation, clarification of expectations, additional training or support.

Where formal action may be appropriate, the employer should follow a fair procedure and the relevant employment requirements.

What happens during a disciplinary process?

Although the precise steps depend on the circumstances and the employer’s procedure, a disciplinary process will generally involve:

1. Establishing the facts: Investigate the concern fairly and gather relevant evidence.
2. Informing the employee: Explain the allegations or concerns clearly and provide the relevant information in accordance with the procedure.
3. Holding a disciplinary hearing: Give the employee a reasonable opportunity to respond and explain their position.
4. Making a decision: Consider the evidence and the employee’s response before deciding whether disciplinary action is justified.
5. Confirming the outcome: Communicate the decision in writing, including any action taken and the right of appeal where applicable.
6. Offering an appeal: Allow the employee to challenge the outcome through an appropriate appeal process.

Possible outcomes range from no formal action to a warning or, in serious cases, dismissal. The outcome should be proportionate to the circumstances and consistent with a fair process.

Employers should not assume that an allegation is proven simply because a complaint has been made.

What is a grievance procedure?

A grievance procedure is used when an employee raises a concern, problem or complaint about their work or treatment at work.

The purpose is to understand the concern, investigate it where necessary and seek an appropriate resolution.

Employees may raise grievances about matters such as:

• Bullying, harassment or inappropriate behaviour.
• Conflict with a manager or colleague.
• Concerns about working conditions.
• How workplace policies have been applied.
• Disagreements about pay, working arrangements or treatment.
• Concerns about discrimination or unfair treatment.
• Other workplace issues that the employee feels have not been resolved.

Not every workplace concern needs to become a formal grievance. Many issues can be addressed through an informal discussion, provided it is appropriate to do so and the employee feels able to raise the issue safely.

However, serious concerns, unresolved problems or matters that require formal investigation may need to be handled through the grievance procedure.

What happens during a grievance process?

A typical grievance process may involve:

1. Receiving the concern: Listen to the employee and clarify what has happened, what their concern is and what outcome they are seeking.
2. Recording the grievance: Where the matter is being raised formally, ensure the concerns are documented clearly.
3. Investigating the matter: Gather relevant evidence, speak to appropriate individuals and consider the circumstances fairly.
4. Holding a grievance meeting: Give the employee an opportunity to explain their concerns and provide relevant information.
5. Making a decision: Consider the available evidence and decide what action, if any, is appropriate.
6. Communicating the outcome: Explain the findings and any action that will be taken, subject to appropriate confidentiality.
7. Offering an appeal: Provide an appropriate opportunity to appeal the outcome.

The action taken will depend on the findings. It may include clarifying a misunderstanding, changing a working arrangement, providing management guidance, taking steps to address inappropriate behaviour or initiating a separate procedure where necessary.

A grievance does not automatically mean that another employee has done something wrong. The employer should investigate impartially before reaching conclusions.

Can a workplace issue involve both a disciplinary and a grievance?

Yes. Sometimes the same situation can involve both procedures.

For example, an employee may raise a grievance alleging that their manager has bullied them. During the investigation, the employer may identify evidence suggesting that the manager’s conduct also warrants disciplinary consideration.

Alternatively, an employee facing disciplinary action may raise a grievance claiming that the process is unfair or that the allegations are linked to discrimination.

In these situations, employers should consider each issue carefully and decide how the procedures should be managed.

Depending on the circumstances, it may be appropriate to:

• Investigate the grievance and disciplinary concerns separately.
• Pause or adjust one procedure while another issue is investigated.
• Appoint different people to investigate or make decisions where practicable.
• Ensure that allegations are not treated as proven before the evidence has been considered.
• Keep clear records of the reasons for procedural decisions.

A grievance raised during a disciplinary process does not automatically mean the disciplinary must stop. Equally, employers should not dismiss a grievance simply because disciplinary action is already underway.

The appropriate approach depends on the nature of the concerns, the available evidence and the need for a fair process.

Do employers have to follow a formal procedure?

Employers should follow a fair process when dealing with disciplinary matters and grievances.

The Acas Code of Practice on Disciplinary and Grievance Procedures provides an important framework for handling these issues. It covers matters such as investigating concerns, informing employees of the issue, holding meetings, communicating decisions and providing an opportunity to appeal.

The Code is particularly important when dealing with formal disciplinary action or formal grievances. Employment tribunals can take the Code into account in relevant cases, and unreasonable failure to comply may affect compensation in certain circumstances.

Employers should also consider their own contractual terms, policies, applicable employment legislation and the specific circumstances of the case.

You can read the official guidance here:

• Acas Code of Practice on disciplinary and grievance procedures
• Acas guidance on disciplinary procedures
• Acas guidance on grievance procedures

What mistakes should employers avoid?

Disciplinary and grievance matters can be sensitive, and mistakes in handling them can damage working relationships or create legal risks.

Common pitfalls include:

Making a decision before investigating. Employers should gather and consider the relevant evidence before reaching conclusions.

Failing to explain the concern clearly. Employees need to understand the allegations or grievance and have a reasonable opportunity to respond.

Treating every issue as a formal process. Informal resolution can be appropriate for some concerns, although serious allegations and formal complaints need proper consideration.

Ignoring a grievance because disciplinary action is underway. The employer should assess the grievance on its merits and decide how best to address it.

Allowing conflicts of interest. Where possible, the person investigating should not be the person making the disciplinary decision. Appeals should be handled impartially, ideally by someone not previously involved.

Keeping inadequate records. Accurate notes of meetings, evidence, decisions and correspondence help demonstrate how the matter was handled.

Failing to consider the right to be accompanied. Eligible employees have a statutory right to be accompanied at qualifying formal disciplinary and grievance hearings. Employers should check the applicable rules and their own policies.

Sharing confidential information unnecessarily. Information should be handled sensitively and shared only where appropriate, while ensuring the employee has a fair opportunity to understand and respond to the relevant case.

When should a small business seek HR advice?

Small businesses may not have an in-house HR specialist to guide them through difficult employee situations.

It is particularly sensible to seek advice when:

• An allegation involves bullying, harassment or discrimination.
• There are concerns about serious misconduct or potential dismissal.
• A grievance is raised against a manager or business owner.
• A grievance is raised during an ongoing disciplinary process.
• The matter involves whistleblowing, protected disclosures or another legally sensitive issue.
• You are unsure whether an informal conversation or formal procedure is appropriate.
• Your business does not have a clear disciplinary or grievance policy.

Early advice can help you understand the options, plan a fair process and avoid making assumptions before the facts are established.

Even a small business should have suitable procedures in place. They do not need to be unnecessarily complicated, but they should be clear, accessible and appropriate for the organisation.

How Tick HR Solutions can help

Tick HR Solutions provides practical HR support to small, medium-sized and larger businesses across Lincolnshire and throughout the UK.

Whether you need help developing disciplinary and grievance policies, investigating an employee concern, preparing for a formal meeting or managing a complex workplace issue, professional HR support can help you approach the situation fairly and confidently.

If you are dealing with a disciplinary matter or grievance and are unsure what to do next, contact Tick HR Solutions to discuss your circumstances and the support available.

Getting the process right from the beginning can help protect your business, support your employees and lead to better-informed decisions.

Call 01522 448 181