The ultimate guide to disciplinaries in the workplace
Dealing with disciplinaries at work might not be the easiest part of being an employer, but it’s essential. Whether it’s handling misconduct, performance issues, or a policy breach, it’s crucial that the process is fair, transparent, and consistent. If you don’t follow the right steps, it can harm employee relationships and leave your business vulnerable to legal risks like employment tribunal claims.
This guide is here to help you navigate the disciplinary process with confidence. We’ll walk you through everything — from the initial investigation to the final decision, and what happens after. By the end, you’ll know exactly how to conduct a disciplinary hearing, how to prepare, and how to keep things running smoothly for everyone involved.
Contents
- What is a disciplinary procedure?
- When and why you might need a disciplinary hearing
- Preparing for a disciplinary hearing
- What happens during the hearing
- After the hearing: Next steps
- How Citation can help with disciplinaries
What is a disciplinary procedure?
It gives both you and your employees a clear framework for addressing issues — whether it’s misconduct, poor performance, or breaches of company policies. When managed properly, a good disciplinary process ensures fairness for both sides and keeps your workplace running smoothly.
At the heart of it, a disciplinary hearing gives an employee the chance to present their version of events before an employer decides on next steps, based on the facts. Whether the issue is poor performance, attendance issues, or misconduct, a fair process helps protect both the employee’s rights and your business.
A study from the CIPD highlights how disciplinaries are the most common method employers use to deal with workplace conflict. However, the study also found that only 36% of employees felt their conflicts were fully resolved — so it’s quite clear that while they’re an important process, they’re not always straightforward. That’s why it’s vital that disciplinaries are handled carefully.
Why is a disciplinary procedure legally required?
In the UK, a reasonable employer is expected to have a written disciplinary procedure in place, which should be included or referred to in your contracts of employment. This isn’t just about fairness — it’s about protecting your business from potential legal issues, such as unfair dismissal claims.
Your disciplinary process should be clearly outlined in your employee contracts or workplace handbook, so everyone knows what to expect if a situation needs formal attention.
If you don’t have a clear procedure, it could easily lead to legal consequences, especially if an employee decides to challenge you with an unfair dismissal claim.
For instance, in Earl Sutherland v London General Transport Services Ltd, a dismissal was ruled unfair because, despite the fact the company had a legitimate reason for dismissal, their disciplinary and appeal processes were riddled with flaws – showing how poor procedure can outweigh even serious allegations.
So, by following the steps properly, you can provide fairness, reduce misunderstandings, and keep your business compliant with the law.
When and why you might need a disciplinary hearing
A disciplinary hearing is necessary when an employee’s behaviour or performance creates problems that can’t be sorted out through informal conversations. These issues could include:
- Misconduct: Unacceptable behaviour like insubordination, unauthorised absence or persistent lateness. Serious actions like theft and harassment will be seen as gross misconduct.
- Performance issues: When an employee consistently misses targets or fails to meet expectations.
- Breach of policy: If an employee breaks workplace rules — from attendance to safety concerns or misuse of company resources.
It’s important to recognise when these issues require a formal approach, and a disciplinary hearing can help you deal with them professionally and in line with the law.
Why is a disciplinary hearing necessary?
A disciplinary hearing is key to investigating allegations in a fair and unbiased way. It gives the employee the chance to explain their side of the story, while also allowing you to present evidence and decide on the appropriate action.
Without a proper procedure in place, handling serious issues can become much more complicated and risky. Having a clear and formal process protects both the employee’s rights and your business interests.
A well-run hearing also helps you meet legal requirements, reducing the risk of unfair dismissal claims. And it gives employees the opportunity to respond to any allegations, which can help prevent issues from escalating into bigger disputes later on.
Preparing for a disciplinary hearing
Before holding a disciplinary hearing, proper preparation is crucial to making sure the process runs smoothly, fairly, and legally. Taking the time to prepare sets the stage for a transparent process, where everyone involved knows what to expect. Here’s a quick guide to the steps you need to take before the hearing begins:
Investigating the issue
Holding an unbiased and thorough investigation process is an essential part of ensuring the disciplinary process is considered legally compliant and reasonable. Before jumping into the disciplinary hearing, make sure you have all the facts. This means gathering evidence, speaking to witnesses, and making sure the allegations are well-supported.
If the investigation is rushed or incomplete, it can lead to an unfair process — something that could be challenged down the line. Stay impartial, be open-minded, and give the employee the opportunity to explain their perspective. The more evidence you have, the clearer your next steps will be, and the fairer the process will be for everyone involved.
Inviting the employee
Once the investigation is complete, it’s time to formally invite the employee to the disciplinary hearing. The invitation should be in writing and give the employee enough notice (typically 48 hours) so they can prepare. The letter should include:
- A detailed list of the evidence that will be discussed
- A reminder that the employee can bring a colleague or union rep for support
- The time, date, and location of the meeting
It’s important to give the employee time to consider the evidence and prepare their response. By letting them know they can bring a representative, you make sure the process is as fair and candid as possible.
Choosing a chair and note-taker
To keep things fair, it’s essential to pick a chair and note-taker who are completely impartial. The chair should have no prior involvement in the case so they can approach the situation with a fresh perspective.
The note-taker’s role is to record everything accurately. Having a detailed record of the meeting is important, especially if the decision is ever challenged. If needed, you can record the meeting (with consent from all parties) to make sure everything is clear and honest.
By choosing unbiased individuals to lead and document the meeting, you reduce the risk of any claims of unfairness or bias.
What happens during the hearing
The disciplinary hearing is where everything comes together. While it’s a formal process, it’s essential to conduct it in a way that feels open and fair to everyone involved. This is the moment when both you and the employee have the chance to present your cases and discuss the issues openly.
Setting the scene
Kick off the meeting on a positive and professional note by setting some ground rules and outlining the agenda. This helps everyone feel comfortable and know what to expect.
Start by explaining the purpose of the meeting and how the process will unfold. Be sure to introduce everyone involved, so the employee understands who’s present and what their role is. This might include the employer, the employee, their representative (if they’ve brought one), the note-taker, and anyone else relevant.
Presenting allegations & evidence
Now it’s time to get into the details. As the employer, you’ll present the allegations and the evidence supporting them. It’s important to do this in a clear and straightforward way — make sure the employee fully understands what they’re being accused of, and that the evidence is easy to follow.
To keep things fair, give the employee access to any supporting documents ahead of the meeting. This allows them to prepare a response. If the allegations and evidence aren’t presented clearly, it could undermine the process and make it more difficult to defend, should the matter end up in a tribunal.
Allowing the employee to respond
The employee must be given the chance to respond to the allegations. Encourage them to share their point of view and ask any questions they may have.
If the employee has brought a colleague or union rep with them, make sure they’re given the opportunity to contribute as well. As the hearing progresses, ask follow-up questions to clarify anything that’s unclear. This gives the employee every chance to fully engage with the process.
Considering special circumstances
In some cases, employees may have special circumstances that need to be considered, such as being particularly young or vulnerable. In these situations, you’ll need to make sure they have the support they need and adjust the process if necessary.
For example, if the employee is disabled, it’s a legal requirement to make reasonable adjustments to lessen the disadvantage posed by their disability. Some of these allowances may include being accompanied by a relative or someone else who would not normally be allowed, or physical adjustments like holding the disciplinary meeting on the ground floor.
By taking special circumstances into account, you help to keep the disciplinary process both fair and sensitive to everyone involved.
After the hearing: Next steps
Once the disciplinary hearing is wrapped up, it’s time to move forward with the next steps. How you handle things after the hearing is just as important as the hearing itself. It’s about making sure the decisions are communicated clearly and that the employee has the chance to respond.
Making and communicating your decision
After the hearing, once the employer has adjourned to consider everything fully, it’s crucial to communicate your decision clearly and formally. This is usually done through an outcome letter, which should include:
- The findings of the hearing
- Any actions taken, such as a written warning or suspension
- The reasons behind your decision
If you’ve issued a sanction, be sure to explain it in detail — including the consequences if there are any future incidents. The employee needs to know exactly what’s happening next and why, so there are no surprises down the line. Clear communication not only ensures fairness but also protects your business from claims of unfair treatment.
Right to appeal
Employees have the right to appeal any disciplinary decision they believe is unfair or incorrect. This right should be clearly outlined in the outcome letter, along with details about how they can file an appeal. The appeal process needs to be handled by someone impartial — ideally, someone who wasn’t involved in the original hearing.
Appeals give employees the opportunity to challenge a decision they feel is wrong or to introduce new evidence. The appeal should be treated with the same level of care and attention as the initial hearing, ensuring consistency and fairness.
Record keeping and minutes
Accurate record-keeping is essential throughout the disciplinary process. Detailed minutes from the hearing are crucial, as they serve as the official record of what was discussed and the decisions made.
The minutes should capture everything: the allegations, the evidence presented, the employee’s responses, and the final decisions. These records are your safeguard if the decision is ever challenged. Without a clear, detailed record, defending against claims of unfair disciplinary action becomes much harder.
To be extra thorough, consider recording the meeting (with consent from everyone involved) to have a comprehensive, unambiguous record of the process. This additional documentation makes sure that the whole procedure is clearly captured and well-documented.
How Citation can help with disciplinaries
Handling disciplinaries can feel like a lot, but it doesn’t have to be overwhelming. With the right support, you can navigate the process confidently and smoothly. Citation’s expert team is here to guide you every step of the way, making sure you’re following the right procedures and staying on the right side of the law.
Whether you need advice on investigating employee misconduct, preparing for a disciplinary hearing, or communicating your decision, we’ve got you covered. Our HR services are tailored to your business, available 24/7 to help you maintain a compliant, fair, and smooth-running workplace. Get in touch with our team today.
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