A fair disciplinary process is one of the most important tools an employer has. It protects your business when something goes wrong, and it ensures employees are treated properly when their conduct or performance falls short. Getting it wrong — or skipping steps — can lead to grievances, damaged morale, and in serious cases, claims at an employment tribunal. This guide sets out a practical, step-by-step approach that aligns with the ACAS Code of Practice on Disciplinary and Grievance Procedures.
Have a Clear Policy in Place
Before you ever need to use it, employees should know what the disciplinary process involves. A written disciplinary policy should be included in your staff handbook or available alongside contracts of employment. It should outline the types of behaviour that may lead to disciplinary action, the stages of the process, and the possible outcomes. It is good practice to make sure all employees have access to this policy and that managers understand how to apply it fairly.
Step 1: Investigation
No disciplinary action should be taken until the facts have been properly investigated. The investigating manager should gather evidence, speak to relevant witnesses, and review any documents, emails, or records that relate to the matter. The employee who may face disciplinary action does not have a statutory right to be accompanied at this stage, though some employers choose to allow it as a matter of good practice.
Crucially, the investigating manager should not pre-judge the outcome. The purpose of investigation is to establish whether there is a case to answer. If there is insufficient evidence, the matter should not proceed to a disciplinary hearing. Employers should keep detailed notes of all investigative conversations and decisions made at this stage.
Step 2: The Disciplinary Hearing
If the investigation shows there is a case to answer, the employee should be invited to a disciplinary hearing in writing. The invitation should set out the allegations clearly, include the evidence, and give reasonable notice — usually at least 48 hours, though more time may be appropriate in complex cases. The employee has a statutory right to be accompanied by a trade union representative or a colleague.
At the hearing, the employee should be given a fair opportunity to respond to the allegations, present their own evidence, and ask questions. A separate note-taker should be present to ensure an accurate record is kept. The hearing should be chaired by someone who has not been involved in the investigation, where possible, to maintain impartiality.
Step 3: The Outcome
After the hearing, the disciplinary officer should consider all the evidence before making a decision. The outcome should be communicated to the employee in writing, usually within a few working days. The letter should explain the decision, the reasons for it, any sanction being applied, and — importantly — the employee's right to appeal.
Any sanction must be proportionate. For minor or first-time issues, a verbal or written warning is usually appropriate. For more serious matters, or repeated misconduct, a final written warning may be justified. Dismissal should generally be reserved for cases of gross misconduct or where earlier warnings have not led to improvement. Employers are expected to show that the sanction was reasonable in the circumstances.
Step 4: The Appeal
An appeal should be offered automatically as part of the process. It should be heard by someone who was not involved in the original hearing or investigation, and who can approach the matter with fresh eyes. The appeal is not simply a review of the original decision — it is a rehearing of the case, and the appeal officer may uphold, overturn, or vary the original outcome.
The appeal hearing should follow a similar format to the original hearing: written notice, right to be accompanied, and detailed notes. The outcome should again be confirmed in writing. If the employee remains dissatisfied after the appeal, they may have recourse to an employment tribunal, but a properly handled internal process significantly reduces that risk.
Records and Compliance
Good record-keeping is essential. Employers should retain notes from the investigation, hearing, and appeal, together with all correspondence, evidence, and outcome letters. These records may be needed if the matter is challenged later. It is also good practice to review disciplinary cases periodically to ensure consistency — employees should not receive different outcomes for similar conduct.
Following the ACAS Code of Practice is not a legal requirement in itself, but employment tribunals take it into account when deciding whether an employer has acted reasonably. If an employer unreasonably fails to comply with the Code, a tribunal may increase any compensation awarded against them by up to 25 per cent.
When to Get External Advice
Some cases are straightforward. Others are not. If the matter involves potential discrimination, whistleblowing, or a protected characteristic, it is strongly advisable to seek expert HR or legal advice before taking action. Similarly, if you are unsure about the strength of your evidence, the appropriate sanction, or whether your policy is up to date, speaking to an experienced adviser can prevent costly mistakes.