Professional Awards

Level 3 Professional Award in Managing Discipline and Grievance


Welcome to the Level 3 Professional Award in Managing Discipline and Grievance...

...a practical workshop from Human Performance which has been written to substantially meet the relevant knowledge and understanding requirements of the Skills CFA National Occupational Standards (NOS) from the Management & Leadership suite of NOS. The Level 3 Professional Award in Managing Discipline and Grievance will lead to candidates achieving a Level 3 Continual Professional Development (CPD) certificate.

National Occupational Standards Covered

  • Unit CFA M&L DA6 - Management & Leadership Initiate and follow disciplinary procedures
  • Unit CFA M&L DA7 - Management & Leadership Initiate and follow grievance procedures

Target Audience

This Level 3 Professional Award in Managing Discipline and Grievance has been designed for anyone that has - or will shortly have - line management responsibility for other employees and needs to pro-actively manage performance in the team and deal with workplace grievances and in doing so correctly utilise their organisations disciplinary and grievance procedures.

No previous qualifications are required to gain access on to this workshop - just a desire to learn effective techniques for managing discipline and grievance in the workplace and enhance career development. A multiple choice paper has to be completed at the close of the course so a good standard of reading and writing is essential.

Course Overview

This Level 3 Professional Award in Managing Discipline and Grievance is a highly participative and practical workshop that will enable all candidates to develop their skills towards the NOS detailed above. A number of processes are covered during the course including: how to assist team members who are having problems which are affecting their performance; how to contribute to implementing disciplinary procedures professionally and safely; and how to manage grievances to resolve issues and disputes that will otherwise affect team and organisational performance.

Throughout the workshop individual review, reflection, practical exercises and group work are utilised to develop a clear understanding of the statutory requirements for dispute resolution. All candidates receive a detailed workshop manual and a back to work action plan designed to encourage use of the new knowledge and to assist in developing competence.

Course Structure

This Level 3 Professional Award in Managing Discipline and Grievance comprises one unit entitled 'Discipline and Grievance in the Workplace', made up of 13 guided learning hours delivered across 2 x 8 hour sessions. It is mandatory that candidates attend and complete all sessions, as well as pass a multiple choice exam paper, in order to achieve the award. The exam paper consists of 30 questions and is graded as follows: Pass 15-20 marks; Merit 21-25 marks; Distinction 26+ marks.

Course Learning Outcomes

  • Learning Outcome 1: Understand the fundamentals of disciplinary and grievance procedures
  • Learning Outcome 2: Understand how to apply disciplinary procedures when dealing with poor performance
  • Learning Outcome 3: Know how to implement the disciplinary process
  • Learning Outcome 4: Know how to implement the grievance process

Course Aims

This Level 3 Professional Award in Managing Discipline and Grievance aims to develop each candidates understanding of the ACAS Code of Practice. They will learn how to use their organisations disciplinary and grievance procedures correctly, safely and legally to ensure that they do not unduly expose the company to an increased risk of an Employment Tribunal claim. The over-riding principle of the workshop will be focused on ensuring that all employees are treated fairly by line managers who are confident with using disciplinary procedures (with the emphasis on natural justice) and also that grievances are aired - and where possible resolved - by line managers who can reliably employ the grievance process.

Course Objectives

Candidates will be introduced to the statutory ACAS Code of Practice that underpins dispute resolution and learn the benefits of having disciplinary procedures for both the employee and line manager/organisation. They will discover how to use "informal action" proactively to reduce the incidences of having to rely on formal disciplinary action. Candidates will then learn when formal disciplinary action needs to be taken and how to prepare for conducting a hearing, as well as the correct way to notify the employee of a disciplinary hearing, which covers step one of the three step statutory procedure.

Moving on to conducting the disciplinary hearing, candidates will discover the key stages of the hearing and how to behave at each stage, as well as how to cope with some of the most common problems encountered. They will be able to identify the six penalties available to them and when to use these appropriately. This module will conclude with how to communicate the outcome of the disciplinary hearing, thereby meeting step two of the statutory procedure, and how they should deal with and manage any appeal (the final stage of the three step statutory procedure) that may be made. Each candidate will be provided with a summary of what constitutes reasonable behaviour.

Finally, candidates will be introduced to the purpose of having grievance procedures to assist in the resolving of disputes and what constitutes a grievance under legislation. The course will also cover exactly how to comply with the statutory three step procedure in relation to grievances. To conclude, candidates will discover how to prepare for and conduct a grievance hearing and learn what records must be kept.


All candidates that attend and complete all workshop sessions and achieve a minimum of 50% in the multiple choice paper will receive the Level 3 Professional Award in Managing Discipline and Grievance CPD certificate.

Delivery Methods

  • Tutor facilitation and input
  • Group activity and discussion
  • Case studies and role play
  • Multiple choice exam paper

Course Timings / Refreshments

The workshop is delivered over two consecutive days, commencing promptly at 9.00am and finishing at 5.00pm. Each session will last for 50 minutes followed by a 10 minute break. Candidates should arrive at 8.45am for breakfast, lunch will be served at 12.30pm and tea, coffee and water are available throughout.

Course Numbers

Maximum of 15 candidates

Support Material

All candidates will receive a comprehensive workshop manual with quality session summary sheets covering each element of the course to enable full utilisation of the learning back in the workplace.

Course Facilitator

The Level 3 Professional Award in Managing Discipline and Grievance is facilitated by endorsed advanced facilitators who have undergone a minimum of 20 years of real-life business management and leadership experience - ensuring that all course delivery is of the highest quality.

Course Content



  • Introduction to Discipline & Grievance at Work
  • Understanding What Constitutes Dismissal & Unfair Dismissal
  • Automatically Unfair Reasons for Dismissal
  • Claiming at a Tribunal
  • What Happens in the Event of Unfair Dismissals
  • Benefits of Disciplinary Rules & Procedures



  • Using Disciplinary Procedures to Deal with Poor Performance
  • Identifying the Causes of Poor Performance
  • Informal Discussion
  • Reasons for Taking Disciplinary Action
  • Principles for Dealing with Discipline Fairly



  • Establishing the Facts of a Case
  • Informing the Employee of the Problem
  • Discipline in Practice - Exercise 1
  • Allowing the Employee to be Accompanied
  • Hold a Meeting with the Employee to Discuss the Problem
  • Conducting a Disciplinary Hearing - Stages 1 to 6
  • Discipline in Practice - Exercises 2 & 3
  • Problems That May Occur at a Disciplinary Hearing
  • Conducting a Disciplinary Hearing - Stage 7
  • Disciplinary Penalties and When to Use Them
  • Discipline in Practice - Exercise 4
  • Informing the Employee of the Disciplinary Penalty
  • Disciplinary Notification Letter
  • Keeping Records of the Disciplinary Hearing
  • Conducting a Disciplinary Hearing - Stage 8
  • Structure of an Appeal Hearing



  • Introduction to Managing Grievance at Work
  • Understanding What Constitutes a Grievance
  • Principles for Dealing with Grievance Fairly
  • Statutory Requirements of Grievance
  • Procedures: Steps 1-5



  • Structured workshop review with facilitator
  • Candidate personal revision time
  • Multiple choice paper assessment