Disciplinary Procedure

Here are our top 10 tips for Disciplinary Procedure – the when, who, and why of this intricate procedure.


1. The disciplinary procedure must be available.

Your disciplinary procedure must be compliant with the ACAS Code of Practice, referenced in the employee contract, made available to all employees during their induction, and freely available to review at any time during employment. 


2. Investigations come first. 

No formal actions should be taken under the procedure without first having a robust investigation to support the case for formal disciplinary action. 

Take a look at our RnA Top Ten’s for Investigations


3. Decision makers should not be involved in the investigation. 

The disciplinary chairperson must not be involved in the investigation, or events prior to being given the investigation report and evidence for review. They must be independent to enable them to make an impartial and unbiased decision.


4. Determine if there is a case to answer.

The first job of the chairperson is to review the case file and determine whether there is a case to answer, and if so, whether informal or formal action should be considered. In most cases, for a ‘first offence’, informal action should be considered in the first instance save for very serious breaches or cases of potential gross misconduct.


5. Issue a formal hearing notice.

No formal hearing can take place without first having a formal hearing notice issued detailing the case to answer in sufficient detail so the personal can understand what the case against them is. It must also state what the potential outcome of the hearing might be, to enable the employee to prepare effectively for the hearing. 


6. All evidence must be made available. 

All the evidence gathered in support of the case for potential disciplinary action must be provided to the individual, or made available to them, in good time in advance of the hearing to enable them to prepare their response for the hearing. 


7. Employees have the right to be accompanied at formal disciplinary hearings.

Employees can be accompanies by a work colleague, trade union representative or official. This is a statutory right, even if you do not have a trade union recognition agreement. If their chosen companion cannot attend on the date and time scheduled they have the right to reschedule within five days of the date arranged to enable them to secure an appropriate companion. 


8. Remember the purpose of the hearing.

The purpose of the hearing is for the chairperson to present the case for action. Reviewing the evidence in detail with the employee and considering their response. This includes any additional evidence presented by the employee as well as witness testimony provided at the hearing.


9. Adjourning at your discretion.

The chairperson can, and should, adjourn the hearing at their discretion to conduct further investigations that might be required prior to concluding the hearing. Before making their decisions, the chairperson must adjourn the hearing to review the representations thoroughly and determine what, is any, formal action should be taken based on the case presented, and the response to it.


10. A well-considered and documented decision. 

The decision must be well considered and documented to determine how the conclusion has been reached and ensure consistency with action taken in similar cases. The outcome should be confirmed to the employee verbally in the first instance, but must be followed up in writing. The terms of any formal warning issued must be clearly stated so further action can be avoided.


BONUS TIP!
You can record hearings, if all parties agree to this.

However, it is not generally accepted as best practice. Covert recordings are in breach of the Data Protection Act 2018 but are still admissible to the Employment Tribunal.

Here to support you 

Not sure where to start with HR? Or are you a HR veteran and just need a little support in terms of documents and systems. No matter your situation or employee numbers – we’re here to support you.