When handled poorly, disciplinary action can damage employee relations and expose organisations to costly, time-consuming tribunal claims. Understanding the disciplinary procedure is essential for employers who want to reduce legal risks and maintain fairness in the workplace.
This blog provides an overview of how to ensure fair disciplinary proceedings in the workplace, from investigations and hearings to outcomes and appeals. It also highlights common employer mistakes, legal risks and best-practice guidance under the Acas disciplinary procedure to help reduce the likelihood of unfair dismissal claims.
Step 1: Investigation – Establish the Facts
A fair disciplinary process begins with an investigation to determine if there is a case to answer. As part of any disciplinary procedure, employers must gather evidence, review documents, interview witnesses and take statements before moving to a formal hearing. Investigations should be conducted promptly and impartially to objectively understand what happened before the allegation.
Rushing into a disciplinary hearing without sufficient evidence or forming conclusions too early is a common mistake employers make. A flawed investigation often undermines the entire process and can result in a costly tribunal claim, particularly when the Acas disciplinary procedure has not been properly followed.
Step 2: Notification & Preparation
If the investigation indicates there is a case to answer, the employee should be notified in writing and provided with details of the alleged misconduct or performance concern, including copies of the evidence collected. This step is a fundamental part of a disciplinary procedure and ensures procedural fairness.
The notification letter should advise the employee of the potential outcomes. The employee must be given adequate time to prepare for the disciplinary hearing and must be informed of their statutory right to be accompanied by a colleague or trade union representative, in line with the Acas disciplinary procedure. and wider UK employment law guidance.
Insufficient detail or late disclosure of evidence is a common employer pitfall and can leave the disciplinary process open to challenge.
Step 3: How to Conduct a Disciplinary Hearing
Understanding how to conduct a disciplinary hearing fairly is a key stage of any disciplinary procedure in the UK. The disciplinary hearing should be chaired by a manager who has not been involved in the investigation. At the hearing, the employer should present the evidence clearly and objectively. The employee is then given the opportunity to respond to allegations, ask questions and present their own evidence. Employers who are unsure how to conduct a disciplinary hearing in accordance with best practice should follow the principles set out by Acas.
Employees should be given every opportunity to present their full case. Predetermining the outcome or failing to consider mitigating factors can render a dismissal unfair, leaving the employer exposed to unfair dismissal claims and increased tribunal awards.
Step 4: Making a Fair Outcome Decision
After the hearing, the employer should carefully consider all the evidence before deciding on an appropriate outcome. This might range from no action to warnings or dismissal. Any sanctions given must be reasonable, consistent with previous cases (unless different treatment can be justified) and aligned with the employer’s disciplinary policies and procedures.
Under the Acas disciplinary procedure, the outcome decision must be communicated clearly and supported by evidence. It should be confirmed in writing, with a full explanation of the reasons for the decision, including the duration of any warnings, improvements required and the timeframe for achieving them, the consequences of further misconduct and the employee’s right of appeal.
Step 5: The Disciplinary Appeal
An employee has the right to appeal any disciplinary action taken by their employer and should do so in writing before the appeal deadline. The appeal should be scheduled without unreasonable delay and handled impartially by a manager who was not previously involved in the case. As with disciplinary hearings, employees have a statutory right to be accompanied at an appeal hearing.
A properly managed appeal is a crucial safeguard within a disciplinary procedure as it can correct earlier procedural errors and demonstrate compliance with the Acas procedure. Employees should be notified of the appeal hearing outcome in writing as soon as possible.
Employers can sometimes underestimate the importance of the appeal stage. However, a properly handled appeal can significantly reduce the risk of an unfair dismissal claim.
Best Practice: The Acas Disciplinary Procedure
Employers should ensure that their disciplinary procedures are fully up to date, compliant with the Acas Code of Practice on disciplinary and grievance procedures and wider UK employment law obligations. Managers should be trained to implement them effectively and consistently.
Disciplinary policies and procedures should be clearly communicated through employee handbooks and contracts of employment and applied consistently across the organisation to ensure fairness and compliance.
While not legally binding, failure to follow the Acas disciplinary procedure not only increases the risk of an unfair dismissal claim but can also result in an increase in any compensatory award by up to 25%.
Need Support with a Disciplinary Procedure?
Well-managed disciplinary proceedings not only protect employers from legal risks but also reinforce fairness and good employee relations. If you’re an employer unsure how to conduct a disciplinary hearing in a complex or high-risk situation, or need support implementing a compliant disciplinary procedure, EML are here to help. Contact us on 01942 727200 or email enquiries@employeemanagement.co.uk in confidence and without obligation, to find out how we can support you.