A fair disciplinary procedure is essential for defending any subsequent unfair dismissal claim. The ACAS Code of Practice on Disciplinary and Grievance Procedures sets the standard — employment tribunals are legally required to take it into account, and failure to follow it can result in a 25% uplift to any compensation award.
Step-by-Step Process
1. Investigate
Before taking any formal action, carry out a reasonable investigation. This means gathering evidence, interviewing witnesses, reviewing documents, and establishing the facts. The investigation should be conducted by someone who is not the decision-maker — separation of roles demonstrates fairness.
2. Inform the Employee in Writing
If the investigation reveals a case to answer, write to the employee setting out:
- The specific allegation(s) or concerns
- The evidence relied upon (copies should be enclosed)
- The date, time, and location of the disciplinary hearing
- Their right to be accompanied by a trade union representative or workplace colleague
- The potential outcomes, including dismissal if applicable
3. Hold the Disciplinary Meeting
At the meeting:
- Explain the allegations and present the evidence
- Allow the employee to respond fully and present their case
- Allow their companion to participate (they can confer with the employee and address the meeting, but cannot answer questions on their behalf)
- Adjourn if further investigation is needed
4. Decide and Communicate
After the meeting, consider the evidence and the employee's response. Decide on the appropriate outcome:
- No action
- First written warning
- Final written warning
- Dismissal with notice (or summary dismissal for gross misconduct)
Communicate the decision in writing with clear reasons and the right to appeal.
5. Offer an Appeal
The employee must have the right to appeal the decision. The appeal should be heard by someone more senior who was not involved in the original decision.
Common Mistakes
- Deciding the outcome before the hearing
- Failing to investigate properly
- Not allowing the employee to be accompanied
- Jumping straight to dismissal without prior warnings (except for gross misconduct)
- Not keeping written records of each stage
Our disciplinary and grievance service provides hands-on support through every stage of the process. Get expert guidance.