Disciplinary & Grievance Policy

Purpose and Scope

This policy sets out the Employer's approach to managing disciplinary matters and grievances in the workplace. It applies to all employees regardless of length of service, grade, or role.

This policy does not form part of any employee's contract of employment and the Employer reserves the right to amend it at any time following consultation where appropriate.

This policy has been drafted with reference to the ACAS Code of Practice on Disciplinary and Grievance Procedures and should be read in conjunction with that Code.

General Principles

• Issues will be dealt with promptly, fairly, and consistently.
• Employees will be informed of the nature of the concern or complaint and given the opportunity to state their case before any decision is made.
• Employees will not be dismissed for a first offence except in cases of gross misconduct.
• Employees have the right to be accompanied at any formal hearing by a trade union representative or a work colleague.
• If the chosen companion is unavailable on the proposed date, the employee may suggest an alternative date within five working days of the original date.
• Any disciplinary sanction imposed will be reasonable and proportionate, having regard to the circumstances of the case, the employee's previous record, and the seriousness of the misconduct or performance issue.
• Employees have the right to appeal against any formal disciplinary or grievance outcome.
• No formal action will be taken until a reasonable investigation has been carried out.

Confidentiality

All disciplinary and grievance matters must be treated as confidential by all parties involved, including witnesses, companions, and managers. Information will be shared only with those who have a legitimate need to know in order to investigate, hear, or decide the matter.

Where witness statements are obtained, the Employer will take reasonable steps to protect the identity of witnesses where they request anonymity, provided this does not compromise the fairness of proceedings. In such cases, the substance of the evidence will be disclosed to the employee concerned while protecting identifying details where possible.

Breach of confidentiality in relation to disciplinary or grievance proceedings may itself be treated as a disciplinary matter.

Disciplinary Procedure

Informal Stage

In the first instance, minor issues of conduct or performance will usually be dealt with informally through a private conversation between the employee and their line manager. The purpose is to make the employee aware of the concern and agree steps for improvement.

A brief written note of the informal discussion will be kept by the manager. If the matter is resolved, no further action will be taken.

The Employer may consider mediation or facilitated discussion as an alternative means of resolving workplace issues informally, where both parties are willing to participate and the nature of the issue is suitable for such an approach.

Investigation

Where an allegation of misconduct or a performance concern is sufficiently serious, the Employer will carry out a prompt and thorough investigation before any formal hearing takes place.

The investigation will be conducted by an appropriate manager or appointed investigating officer who has not been directly involved in the matter. The scope of the investigation will be proportionate to the seriousness of the allegation.

The employee who is the subject of the investigation may be invited to attend an investigation meeting to provide their account of events before any decision is taken on whether to proceed to a formal hearing. The employee will be informed of the purpose of the meeting and given a reasonable opportunity to prepare. Investigation meetings are fact-finding in nature and are not disciplinary hearings.

Following the investigation, the investigating officer will prepare a report summarising the evidence gathered and recommending whether the matter should proceed to a formal hearing.

Formal Hearing

Where the investigation indicates that formal action may be warranted, the employee will be invited to attend a formal disciplinary hearing. The invitation will:

• Be in writing and provide reasonable notice (normally at least five working days).
• Set out the nature of the allegation(s) and the basis for them.
• Include copies of any evidence to be relied upon at the hearing.
• Confirm the employee's right to be accompanied by a trade union representative or work colleague.

If the chosen companion is unavailable on the proposed date, the employee may suggest an alternative date within five working days of the original date. The Employer will make reasonable efforts to accommodate such a request.

The hearing will be conducted by a manager with appropriate authority who has not been involved in the investigation. The employee will be given a full opportunity to present their case, call witnesses, and respond to the evidence.

The hearing may be adjourned where further investigation, consideration of evidence, or deliberation is required. The employee will be informed of the reason for any adjournment and the expected timescale for resumption.

Where circumstances make it impractical or unreasonable to hold the hearing in person — for example, due to distance, health, or operational requirements — the hearing may be conducted remotely by video or telephone conference, provided all parties are able to participate effectively.

The outcome of the hearing will be communicated to the employee in writing as soon as reasonably practicable, including details of any sanction imposed and the right of appeal.

Disciplinary Outcomes

Depending on the circumstances, the following sanctions may be applied:

• First Written Warning — for a first act of misconduct or failure to meet required standards. The warning will normally remain active for six months.
• Final Written Warning — for further misconduct or a failure to improve, or where the misconduct is sufficiently serious to warrant a final warning without a prior first warning. The warning will normally remain active for twelve months.
• Dismissal — for further misconduct during the currency of a final written warning, or for gross misconduct.

In determining the appropriate sanction, the Employer will ensure that it is reasonable and proportionate, taking into account all relevant circumstances including the nature and seriousness of the misconduct, the employee's previous disciplinary record, length of service, any mitigating factors, and whether the proposed sanction is consistent with the treatment of similar cases.

In some cases, alternatives to dismissal may be considered, such as demotion, transfer, or loss of seniority, where appropriate and with the employee's agreement.

Gross Misconduct

Gross misconduct is misconduct of such a serious nature that it fundamentally undermines the employment relationship and justifies summary dismissal — that is, dismissal without notice or pay in lieu of notice.

Examples of gross misconduct include, but are not limited to:

• Theft, fraud, or deliberate falsification of records.
• Physical violence, assault, or threatening behaviour.
• Serious bullying, harassment, or discrimination.
• Deliberate damage to the Employer's property or reputation.
• Serious breach of health and safety rules.
• Serious negligence which causes or could cause unacceptable loss, damage, or injury.
• Serious breach of confidence or misuse of confidential information.
• Being under the influence of alcohol or illegal drugs at work.
• Serious breach of safeguarding obligations.
• Criminal conduct which affects the employee's suitability for continued employment or the Employer's reputation.

This list is not exhaustive and other acts may constitute gross misconduct.

Grievance Procedure

Informal Stage

Employees are encouraged to raise concerns or complaints informally with their line manager in the first instance. Many workplace issues can be resolved quickly through open and constructive dialogue.

The Employer may consider mediation or facilitated discussion as an alternative means of resolving grievances informally, where both parties are willing to participate and the nature of the grievance is suitable for such an approach.

Formal Grievance

Where informal resolution is not possible or appropriate, the employee should set out their grievance in writing to their line manager or, where the grievance concerns the line manager, to a more senior manager or the HR department.

The grievance letter should include:

• A clear description of the complaint or concern.
• The outcome the employee is seeking.
• Any relevant supporting evidence.

A grievance hearing will be arranged, normally within five working days of receiving the written grievance. The employee has the right to be accompanied by a trade union representative or work colleague.

The hearing manager will investigate the grievance as necessary and will communicate the outcome and any action to be taken in writing, normally within five working days of the hearing.

The employee has the right to appeal the grievance outcome.

The Employer takes all genuine grievances seriously. However, where a grievance is found to have been raised maliciously, in bad faith, or to be deliberately false, this may itself be treated as a disciplinary matter and dealt with under the disciplinary procedure.

Overlap of Disciplinary and Grievance Proceedings

Where a grievance is raised during the course of disciplinary proceedings, the Employer will consider whether it is appropriate to pause the disciplinary process in order to address the grievance, particularly where the grievance is related to the disciplinary case.

In some circumstances it may be appropriate to deal with both matters concurrently, or to address the grievance as part of the disciplinary hearing. The approach taken will depend on the facts of the case and the Employer will inform the employee of the process to be followed.

Right of Appeal

An employee who is dissatisfied with a disciplinary or grievance outcome has the right to appeal. The appeal should be made in writing within five working days of receiving the written decision, setting out the grounds of the appeal.

An appeal hearing will be arranged, normally within ten working days. The appeal will be heard by a more senior manager or an independent manager who has not been involved in the original decision.

The appeal may take the form of a full rehearing of the case or a review of the original decision, depending on the grounds of the appeal and the circumstances. The approach to be taken will be confirmed to the employee in advance of the hearing.

The outcome of the appeal will be communicated in writing as soon as reasonably practicable. The decision at appeal is final and there is no further right of internal appeal.

Suspension

In certain circumstances — for example, where allegations of gross misconduct are made or where there is a risk to the business, other employees, or the investigation — the Employer may suspend the employee on full pay pending the outcome of an investigation.

Suspension is a neutral act and does not imply guilt. It will be kept as brief as possible and will be reviewed regularly. The terms of the suspension will be confirmed in writing.

Safeguarding and External Referrals

Given the nature of the Employer's business, which involves training delivery, workplace learning environments, and contact with members of the public and external organisations, the Employer has additional obligations in relation to safeguarding.

Where allegations or concerns involve potential safeguarding issues, criminal conduct, serious professional misconduct, or matters which may affect the safety or welfare of learners, delegates, or other individuals, the Employer may refer the matter to external authorities, including but not limited to:

• The police or other law enforcement agencies.
• Local authority safeguarding teams.
• Relevant regulatory or professional bodies.
• The Disclosure and Barring Service (DBS).

Such referrals will be made in accordance with the Employer's safeguarding policy and legal obligations, and may proceed alongside or independently of internal disciplinary proceedings.

Record Keeping

The Employer will maintain written records of all disciplinary and grievance investigations, hearings, outcomes, and appeals. Records will include the nature of the matter, the evidence considered, the decision reached, the reasons for the decision, and any sanctions or actions imposed.

Records will be treated as confidential and held securely in accordance with the Employer's data protection policies and the UK General Data Protection Regulation (UK GDPR). Records will be retained only for as long as necessary for the purposes for which they were created, and in any event in line with the Employer's data retention schedule.

Employees have the right to request access to their personal data held in disciplinary or grievance records, subject to the provisions of data protection legislation.

Policy Review

This policy will be reviewed annually, or sooner where changes in legislation, regulation, or business practice require it. The Employer will consult with employees or their representatives where significant changes are proposed.

Related Policies

This policy should be read alongside the following Employer policies:

• The Brity Standard (Code of Conduct)
• Privacy Notice
• Equal Opportunities Policy
• Anti-Bullying and Harassment Policy
• Whistleblowing Policy
• Safeguarding Policy