Handling a Disciplinary Process

A disciplinary hearing is a formal meeting between an employer and an employee to discuss alleged misconduct or performance concerns. The purpose is to give the employee an opportunity to respond to the allegations before any disciplinary sanction is imposed (ranging from warnings through to dismissal). 

You should send the employee a written invitation (a disciplinary invite letter) which clearly sets out: 

• the allegations being considered;
• the possible consequences; and
• the date, time and location (or format) of the hearing. 

You should also enclose copies of the evidence the business intends to rely on and give the employee reasonable notice of the meeting. As a rule of thumb, 24 hours’ notice is unlikely to give the employee sufficient time to prepare. 

The letter should also explain the employee’s right to be accompanied by a fellow worker or trade union representative. 

Suspension should be used sparingly. It may be appropriate where the alleged misconduct is sufficiently serious that it could amount to gross misconduct, or where there is a genuine concern that the employee’s presence at work could: 

• hinder the investigation;
• pose a risk to other staff or company property; or 
• disrupt business operations. 

If suspension is necessary, it should normally be on full pay (unless the employment contract provides otherwise) and kept as brief as possible, with regular reviews to ensure it remains justified. The employee should be told in writing why they are being suspended and reassured that suspension is not a disciplinary sanction in itself, but a neutral act to facilitate a fair process. 

Preparation is crucial, as is compliance with the ACAS Code of Practice. Where resources allow, it is good practice to have different people acting as the investigating officer, disciplinary officer and appeal officer. 

In practical terms, employers should: 

• investigate the allegations thoroughly, gathering relevant documents (which may include emails, spreadsheets and screenshots), witness statements and any other evidence;
• provide the employee with written notice of the hearing, outlining the allegations and possible consequences (the disciplinary invite letter); 
• share all evidence with the employee in advance, giving them reasonable time to prepare their response; 
• decide who will chair the hearing and who else will attend (for example, a note-taker and any witnesses); and 
• arrange a suitable private location for the hearing. 

Yes. The employee has a statutory right to be accompanied at a disciplinary hearing by: 

• a fellow employee; 
• a trade union representative; or 
• an official employed by a trade union. 

It is usually at the employer’s discretion whether to extend this right to a family member or friend. 

A companion may confer with the employee during the hearing and may address the hearing to: 

• put forward the employee’s case; 
• sum up the employee’s case; and 
• respond on the employee’s behalf to any views expressed. 

However, the companion cannot answer questions on the employee’s behalf or prevent the employer from presenting its case. 

If the hearing is to be recorded, you should consider data protection issues and obtain consent from everyone attending. If consent is not given, it is advisable to have a note–taker and to keep a detailed note of the meeting. 

In most cases, a near-verbatim note is more reliable than a brief summary. 

Typically, attendees are: 

• the employee facing the allegations; 
• the chair (usually a manager not directly involved in the case); 
• a note-taker (optional but recommended); 
• the employee’s companion
• occasionally, witnesses (usually only for the part of the hearing relevant to their evidence). 

The hearing should be structured and professional. It is helpful to follow a consistent format: 

1. Introduce everyone present and explain their roles. 
2. Set out the allegations and the purpose of the hearing. 
3. Go through the evidence and allow the employee to respond to each point. 
4. Allow the employee to ask questions, present their own evidence and (where appropriate and necessary) call witnesses.  It is not usual to allow witnesses to be “cross examined” in the style of a court hearing.  The approach should be inquisitorial.  
5. Take notes throughout. 
6. Adjourn if new evidence comes to light or further investigation is required. 
7. Adjourn to consider the outcome. 

It is generally best practice not to give a decision immediately at the end of the meeting. Doing so can lead to arguments that the outcome was pre-determined. 

Depending on the findings, outcomes may include: 

• no action (because the allegations are not proven or the issue has already been resolved informally); 
• a  first written warning; 
• a final written warning (for repeated or serious misconduct); 
• demotion, suspension or transfer (where appropriate and contractually permitted—this should be covered in the disciplinary policy); or 
• dismissal with notice, or summary dismissal (typically only for gross misconduct). 

Where an employee has enough qualifying service, dismissal without a fair process and a reasonable basis can create unfair dismissal risk. That risk is often higher if the employee is not already subject to a final written warning. 

All outcomes should be confirmed in writing, including the right of appeal. 

Once the hearing has concluded, you should: 

• consider the evidence and the employee’s response carefully before making a decision; 
• communicate the outcome in writing as soon as reasonably practicable; 
• explain the reasons for any sanction; 
• set out any improvements required, review periods and the consequences of further issues; and 
• explain the right of appeal and the appeal process. 

If an employee is off sick, handle the situation sensitively and fairly. Start by considering the nature and expected duration of the absence. If the illness is short-term, it may be reasonable to postpone. 

If the absence is prolonged, or linked to stress arising from the process, consider alternatives so the employee can still participate. This might include: 

• taking written submissions; 
• holding the hearing by video conference; or 
• meeting at a neutral venue. 

Keep communication open and make sure the employee has the opportunity to be accompanied. If you ultimately need to proceed in the employee’s absence, do so only after considering whether reasonable adjustments are required and after documenting your efforts to facilitate their participation. 

If an employee refuses to attend, start by trying to understand why. Is it due to health concerns, personal issues or objections to the process? Offer reasonable alternatives (rescheduling, a remote hearing or written submissions) and remind the employee of the right to be accompanied. 

If the employee continues to refuse without good reason, it may be necessary to proceed in their absence. In that situation, document all attempts to engage the employee, consider all evidence carefully, and give the employee a final opportunity to provide their views in writing before any decision is made. 

Yes. Employees should be given the opportunity to appeal. The appeal should be heard impartially, ideally by a manager not involved in the original decision and with sufficient seniority or authority to overturn it if appropriate. 

The employee should be allowed to appeal any aspect of the outcome. Depending on the grounds of appeal, this may involve a review of the decision or, in some cases, a rehearing. 

Maintain thorough records, including: 

• investigation notes, evidence and witness statements; 
• correspondence about the hearing and outcome; 
• notes of the hearing; and 
• the decision letter and any appeal correspondence. 

Good documentation protects both employer and employee and can be vital in defending any employment claim. 

If a grievance is raised during the disciplinary process and it relates directly to the disciplinary issues or process, it may be appropriate to pause the disciplinary process to investigate and resolve the grievance. This can reduce the risk of allegations of unfairness. 

If the grievance is separate from the disciplinary matter, it may be possible to run both processes in parallel, ensuring each is dealt with fairly and without undue delay. 

If a grievance is raised after disciplinary action has concluded, consider whether it is genuinely a grievance or, in substance, an appeal. If it challenges the fairness or substance of the disciplinary decision, treat it as an appeal under the appeal process. 

If it raises new and unrelated issues, address it under the grievance procedure. 

In all cases, keep clear records and communicate outcomes and next steps. 

Most disciplinary processes are straightforward when the facts are clear and the steps are followed consistently. That said, it is sensible to take advice early in higher risk cases, for example where the issues may overlap with whistleblowing, discrimination, or long-service employees, or where dismissal is a realistic outcome. Legal advice at the outset can help you avoid avoidable procedural issues and reduce the scope for disputes later.