Disciplinary procedures: Step-by-step guide for employers

Handling a disciplinary procedure can be a challenging moment for any employer. Many are unaware of the level of careful attention required when addressing disciplinary issues, and the consequences of getting it wrong can be significant. 

In this guide, specialist employment solicitor Jayne Harrison walks you through the essential steps of managing disciplinary procedures, helping you to understand each stage of the process and help maintain a fair and transparent workplace. 

If you’re interested in a particular section on disciplinary procedures, use the links below to navigate straight to it:

• What are disciplinary procedures?
• Reasons for a disciplinary procedure 
• Can the employer suspend an employee during a disciplinary procedure?
• What rights does the employee have during a disciplinary procedure?
• What are the stages of a disciplinary procedure?
• What are the consequences of unfair disciplinary procedures?
• How long should a disciplinary procedure take?
• What happens if the disciplinary procedures are not followed?
• The disciplinary procedure outcome
• How we can help

Need some help with disciplinary procedures in your organisation? Contact our team today.

What are disciplinary procedures?

A disciplinary procedure is a formal process used by employers to address issues of employee misconduct or poor performance. It outlines the formal steps that should be taken when an employee has acted inappropriately in the workplace, has gone against the company policy, or if their work does not meet the expected standards.

Following a clear, consistent procedure helps protect both the employer and the employee. This ensures any disciplinary action is legally compliant and fair to avoid the risk of tribunal claims for unfair dismissal or allegations of workplace discrimination.

If you’re looking for guidance from the employee’s perspective, take a look at our guide on dealing with disciplinary action at work.

Reasons for a disciplinary procedure

A disciplinary procedure in the workplace is essential for maintaining a positive and productive environment by clearly defining what’s acceptable and what’s not. This management tool not only protects employees but also ensures all employees are treated fairly and equally, regardless of their position.

Employers can also use disciplinary procedures to address and correct unacceptable behaviours that could disrupt the work environment, team dynamics, and productivity. By doing so, they reduce the risk of discrimination claims and accusations of unfair dismissal.

These include:

• Misconduct: Such as breaching company policy, bullying and harassment, inappropriate behaviour, stalking and harassment, or dishonesty.
• Poor performance: Including inadequate work performance, persistent lateness, and unauthorised absences.

Can the employer suspend an employee during a disciplinary procedure?

Yes, an employer can suspend an employee during a disciplinary procedure, typically to allow time for a thorough investigation or to prevent further issues while the situation is being reviewed. It’s important to note that suspension is not seen as punishment–it’s simply part of the process. However, suspension should not be seen as an automatic process as if an employer does not consider alternatives to suspension this may rise to a claim by the employee. During this period, the employee should be on full pay to ensure their rights are protected.

Depending on the issue, the employee may be asked to not communicate with colleagues or anyone involved with the company, however, the employee might need to contact colleagues to assist with their case as this could affect their ability to defend themselves.

What rights does the employee have during a disciplinary procedure?

Employees have certain rights to ensure they are fairly treated in the process. This also protects the employer from being accused of unfair dismissal when the final decision is made. This includes:

Tell their side of the story

The accused employee has the right to make themselves heard and tell their side of the story, along with any evidence and their witnesses.

Representation

Employees in a disciplinary procedure have the right to bring a colleague or trade union representative to the meeting.

Informed of the accusations

The employee has a right to know about the accusations they have had against them, including any evidence that has been provided.

The right to call witnesses

Employees have the right to respond to any information that has been given by witnesses.

Appeal the disciplinary action

If the employee doesn’t agree with the outcome of the employer’s decision, they have the right to appeal the disciplinary decision. 

Make a claim

If the employer doesn’t follow the correct process or make the final decision while following the ACAS Code of Practice, the employee has a right to make a claim to the Employment Tribunal.

The stages of a disciplinary procedure

As an employer, it’s important to follow the correct disciplinary procedure steps, as outlined in the ACAS Code of Practice. While failure to comply with the ACAS Code does not, in itself, give rise to liability, it is admissible in evidence in employment tribunal proceedings, and tribunals are required to take its provisions into account when relevant to the questions arising in those proceedings.

The Code sets out minimum standards of reasonable behaviour for handling disciplinary and grievance situations in the workplace, and both employers and employees are expected to comply with its provisions. Non-compliance with the Code can affect the outcome of tribunal proceedings, particularly in relation to compensation awards. Specifically, if an employer unreasonably fails to follow the Code, compensation may be increased by up to 25%, and if an employee unreasonably fails to follow it, compensation may be decreased by up to 25%.

This process ensures that both employer obligations and employee rights are upheld. Following the stages of disciplinary procedures will minimise the risk of legal disputes and promote fairness to all employees:

• Decide if formal proceedings are necessary
• Investigate any allegations
• Written communication to the employee
• Disciplinary meeting to discuss the issues
• Disciplinary decision
• Appeal process

1. Decide if formal proceedings are necessary

Before starting a formal investigation, assess whether the issue can be resolved informally. For example, poor performance might be improved with additional training, or disciplinary procedures for misconduct might be addressed with a reminder of workplace standards. If these informal measures do not resolve the issue, it should then be addressed formally to ensure that the matter is handled appropriately.

2. Investigate any allegations

If a formal disciplinary procedure is required, initiate an investigation into the alleged offence. This should be done by interviewing witnesses and gathering any relevant evidence. It’s important to ensure all information collected is impartial and fair to support objective decision-making. This will help make an informed decision and demonstrate commitment to a fair process.

3. Written communication to the employee

The employee should receive a written notice detailing the issues and allegations, including any evidence gathered and the potential consequences. This ensures fairness by keeping the employee fully informed and allowing them to prepare for the next steps.

4. Disciplinary meeting to discuss the issues

The next step is holding a disciplinary meeting to discuss the issues in detail. Make sure to provide reasonable notice of the disciplinary hearing whilst informing the employee of their right to be accompanied by a colleague or a trade union representative. Present all evidence and clarify the allegations and possible outcomes, such as a first or final warning or dismissal. Holding the meeting in a structured manner helps ensure that all parties have the opportunity to present their case and contributes to a fair and unbiased outcome.

5. Disciplinary decision

A disciplinary decision should be made after carefully evaluating all factors to ensure the outcome is fair and reasonable. Consider any mitigating circumstances and how similar cases have been handled previously by the company to maintain consistency. The decision should be consistent with company policy and previous cases to uphold the integrity of the disciplinary process.

It’s important to note that not all cases will result in dismissal; in some situations, no action or alternative outcomes may be deemed appropriate.

6. Appeal process

Once the decision has been made, the employee should be notified and given the opportunity to appeal to the workplace disciplinary. In line with the ACAS Code of Practice, all employees must have the right to appeal a disciplinary outcome. If the employee decides to appeal, an appeal meeting must be arranged. The person responsible for the appeal meeting should not be involved in the original investigation or disciplinary meeting to ensure impartiality.

Employees should also be reminded of their right to be accompanied during the appeal. Following the meeting, review the employee’s grounds for appeal and, if necessary, investigate any new evidence that was previously unconfirmed. The final decision should then be made and communicated to the employee in writing.

If you need any advice or guidance about disciplinary procedure stages, contact our team for further information.

What are the consequences of unfair disciplinary procedures?

The company could be left with serious consequences if a fair decision is not made and the disciplinary procedure is deemed unfair. An employee may file an unfair dismissal claim if the process does not comply with the ACAS Code of Practice, potentially leading to compensation being awarded for the mishandling of the case.

An unfair disciplinary procedure can also result in claims of breach of contract, damaging the company’s reputation given that employment tribunal judgements are now placed on the internet, so the public can view these. This can have a knock-on effect, undermining employee morale and trust, as staff may begin to question the fairness of the employer in all situations.

How long should a disciplinary procedure take?

While there is no specific timeframe, a disciplinary procedure takes anywhere from a few weeks to a few months. However, it may take longer in some cases, depending on the specific circumstances and the nature of the allegations. This is because certain cases may need further investigations and interviews, which can be time-consuming.

The timeframe should still be reasonable, allowing enough time to conduct a thorough investigation, collect evidence, and give the accused employee adequate time to prepare.

What happens if disciplinary procedures are not followed?

If disciplinary procedures are not properly followed, it can lead to unfair dismissal or discrimination claims. This may result in legal disputes and potential tribunal claims, which can be costly and hurtful to the company’s reputation.

Failing to follow procedures can also undermine employee trust and morale, potentially creating a toxic work environment. Proper adherence to procedures is essential for ensuring fairness and maintaining legal compliance.

The disciplinary procedure outcome

The outcome of a disciplinary procedure is determined by whether the disciplinary action is warranted. If it has been made, the next decision is deciding on the overall outcome. Potential outcomes include:

• No action: This may include training or coaching as an alternative.
• First written warning
• Final written warning
• Dismissal with notice
• Summary dismissal 

When the disciplinary outcome is confirmed to the employee in writing, it should detail the duration of any warnings and the standards of future behaviour expected. Employers should outline any potential consequences to employees if they fail to improve issues, any review periods and steps they need to follow moving forward.

How we can help

Addressing disciplinary issues effectively often requires a proactive approach. We find advising clients early in the process ensures that disciplinary procedures are clearly defined and implemented correctly from the start. 

Our employment solicitors are here to help you develop and implement disciplinary procedures tailored to your organisation’s needs, ensuring that they are fair, compliant, and effective.

At Richard Nelson LLP, our team of experienced employment solicitors can guide you through all stages of disciplinary procedures, including handling disputes and appeals. Whether you need assistance with drafting procedures or managing complex cases, contact Richard Nelson LLP  for expert advice and support.