Carrying out a Disciplinary Process

Carrying out a Disciplinary Process

Managing misconduct or performance issues can be challenging, but a fair and consistent disciplinary process protects both the organisation and its employees. This guide takes you through each step to ensure best practice.

Understand Your Legal Duties

Employers should have a written disciplinary procedure/policy in place and it should be easily accessible to employees. It should include:

• The standards of conduct and performance expected.
• How concerns will be investigated.
• The types of disciplinary action that may be taken.
• The right to be accompanied at meetings.
• The appeal process.
  
  

Step 1: Establish the Facts (Fact Finding)

Before taking any disciplinary action, look into the facts. The aim is to understand what happened and whether there is a case to answer.

Step 2: Decide If Formal Action Is Needed

Sometimes it transpires through fact finding that there is no case to answer. If there is a case to answer, and the issue/s can be resolved informally, do so. A quiet word, coaching or additional training can often address concerns without triggering a formal process. Where the matter is serious or informal steps may not be appropriate, proceed to a formal investigation. It may be beneficial to engage an HR consultant for this.

Steps 3-5 can be skipped if there is enough information gathered during the fact finding (Step 1) that would warrant a disciplinary hearing, for example CCTV evidence suggesting theft or assault.

Step 3: Notify the Employee in Writing and invite to a Disciplinary Investigation Meeting

If a disciplinary investigation meeting is required, provide the employee with a letter which includes:

• Details of the alleged misconduct or performance issue/s.
• Evidence you will refer to.
• Date, time and location of the meeting.
• Who will be in attendance at the meeting.
• Their right to be accompanied.
• A statement on the possible outcomes of formal disciplinary proceedings which can be up to and including dismissal.

Provide enough notice for the employee concerned to prepare and arrange for accompaniment.

Step 4: Hold the Disciplinary Investigation Meeting

The line manager can chair this meeting and notes should be taken. At the beginning of the meeting be sure to advise all in attendance that the companion can address the meeting, ask questions and confer with the employee, but cannot answer on behalf of the employee concerned. If no companion is present clarify that the employee does not wish to be accompanied and take a record of this in the notes.

During the meeting:

• Explain the concerns clearly.
• Go through the evidence.
• Allow the employee to respond and present their own evidence.
• Consider any mitigating factors.
  

At the end of the meeting the meeting notes should be shared, reviewed and agreed (if possible).

Step 5: Decide on the Outcome of the Disciplinary Investigation & notify the employee.

Once all information is gathered, the investigator/s need to review and consider everything before deciding if there is further action required. The options are as follows:

• Proceed to a Disciplinary Hearing.
• No further action.

Notify the employee in writing of the outcome of the Disciplinary Investigation. The letter should clearly state whether the matter is closed or is proceeding to a Disciplinary Hearing.

Step 6: Notify the Employee in Writing and invite to a Disciplinary Hearing

If proceeding to a Disciplinary Hearing, the Hearing should be chaired by someone impartial and ideally not involved in the investigation. The employee concerned should be provided with a letter which includes:

• Details of the alleged misconduct or performance issue/s
• Evidence you will refer to
• Date, time and location of the meeting
• Who will be in attendance at the meeting
• Their right to be accompanied
• A statement on the possible outcomes of formal disciplinary proceedings which can be up to and including dismissal.

Provide enough notice for the employee concerned to prepare and arrange for accompaniment.

Step 7: Hold the Disciplinary Hearing Meeting

The impartial manager who has ideally not been involved in the investigation should chair this meeting. At the beginning of the meeting be sure to advise all in attendance that the companion can address the meeting, ask questions and confer with the employee, but cannot answer on behalf of the employee concerned. If no companion is present clarify that the employee does not wish to be accompanied and make a record of this in the notes.

During the meeting:

• Explain the concerns clearly.
• Go through the evidence.
• Allow the employee to respond and present their own evidence.
• Consider any mitigating factors.

At the end of the meeting the meeting notes should be shared, reviewed and agreed (if possible).

Step 8: Decide on the Outcome of the Disciplinary Hearing

Remember that disciplinary proceedings are designed to be corrective and remedial and not solely punitive.

After the meeting, decide whether the outcome will be:

• No Further Action.
• Informal action.
• A Formal warning.
• Final written warning.
• Other – including (but not limited to) training, retraining, coaching, mediation, transfer, demotion, dismissal.

• A combination of the above.

Base the decision on the evidence and the seriousness of the matter, while remaining consistent with previous cases.

Step 9: Communicate the Decision in Writing

Confirm the decision promptly in writing. Include:

• The outcome and reasons.
• Any sanctions and how long they will remain live.
• Required improvements and support offered.
• The right to appeal.
  

Step 10: Offer the Right to Appeal

Offer a right to appeal. If the employee disagrees with the outcome, they have the right to appeal. The appeal should be considered by someone not previously involved in the case and ideally more senior (or of equal seniority) to the person that chaired the Disciplinary Hearing.

The person handling the appeal may wish to hold further meetings before making a decision.

Provide a written outcome of the appeal. When the appeal is settled, state that it is the companies final decision on the matter.

Keep Documents

•             Investigation notes.

•             Copies of evidence.

•             Meeting notes and invitation letters.

•             Outcome letters and appeal correspondence.

These should be kept confidential, and in line with data protection policy.

Why is this important?

A clear and fair disciplinary process:

• Ensures employees are treated consistently.
• Maintains professional standards and workplace culture.
• Gives employees a fair chance to respond.
• Protects the business and reduces legal risk.

Every case is different, but by following these steps you can ensure your organisation handles conduct and performance in a way that is fair, consistent and compliant with best practice. We offer support with handling disciplinary matters; you can contact us for support for all manner of HR/People issues via the following link: Contact | A Human Resource | AHR.

The following organisations provide helpful codes of practice for handling disciplinary matters in the following jurisdictions:

GB: Acas | Making working life better for everyone in Britain

NI: Labour Relations Agency - Official | Improving employment relations in Northern Ireland

IE: Home - Workplace Relations Commission