Running a Fair Disciplinary Process

Before starting formal disciplinary proceedings, carry out a reasonable investigation to establish the facts. The depth of investigation should be proportionate to the seriousness of the allegation — a minor conduct issue may require only a brief conversation with a line manager; an allegation of gross misconduct may warrant a more detailed fact-finding exercise including interviews and document review.

Where possible, the person who investigates should be different from the person who chairs the disciplinary hearing. This separation supports procedural fairness. Suspension may be appropriate during investigation for serious allegations, but should be on full pay, treated as a neutral act (not a punishment), and be as brief as possible. An unreasonably prolonged suspension can itself be a breach of contract or lead to a constructive dismissal claim. Document your investigation notes carefully — these will be crucial if the matter reaches a tribunal.

Before the hearing, provide the employee with written notification of the allegation, the evidence gathered, and the date and time of the hearing. Allow sufficient notice — typically at least 48 hours — so they can prepare. Inform them of their right to be accompanied by a colleague or accredited trade union representative (not a solicitor, unless your contractual policy provides for this).

At the hearing, the chairperson should explain the allegation and present the evidence. The employee must then have a full opportunity to respond, present their own evidence, and call witnesses. Adjourn the meeting to consider the evidence before reaching a decision — avoid deciding on the spot. The possible outcomes range from no action to a first written warning, final written warning, demotion, or dismissal. The sanction must be proportionate to the misconduct. Only gross misconduct (theft, violence, serious health and safety breaches, serious dishonesty) justifies summary dismissal without notice.

Every employee disciplined or dismissed must be offered the right to appeal the decision. The ACAS Code requires you to set out how and when to appeal in the disciplinary outcome letter. The appeal should ideally be heard by a more senior manager who was not involved in the original decision. The appeal is a fresh consideration of the decision — not merely a review of the process. At the appeal hearing the employee again has the right to be accompanied.

If the appeal is upheld, any warning should be removed from the employee's record. Keep all records — investigation notes, hearing notes, outcome letters, and appeal records — for at least six years. Records of gross misconduct dismissals should be kept longer. Tribunals will expect to see a clear paper trail showing a fair and proportionate process was followed at every stage.