Disciplinary Procedure Steps UK

Following a proper disciplinary procedure isn't just good practice - it's essential for defending any subsequent tribunal claim. Here's a step-by-step guide that follows the ACAS Code of Practice.

Step 1: Identify the Issue

Before starting any formal process, be clear about:

• What the specific allegation or concern is
• Whether it's misconduct, poor performance, or something else
• Whether it's potentially gross misconduct

Tip: Document everything from the start. Your notes may be needed as evidence later.

Step 2: Investigate

What Investigation Involves

• Gather documentary evidence (emails, records, CCTV)
• Interview witnesses
• Give the employee an opportunity to respond informally
• Document your findings

Investigation Meetings

An investigation meeting is not a disciplinary meeting. You should:

• Explain you're gathering facts, not making decisions
• Tell them they can be accompanied (though there's no statutory right at investigation stage)
• Keep an open mind
• Take detailed notes

Suspension (If Necessary)

You may need to suspend the employee during investigation if:

• Evidence might be tampered with
• Witnesses might be pressured
• There's a risk to other employees or the business

Suspension should be:

• On full pay
• As brief as possible
• Kept under regular review
• Not treated as a punishment

Step 3: Decide Whether to Proceed

After investigation, decide:

• Is there a case to answer?
• If yes, is it misconduct, gross misconduct, or performance?
• What's the appropriate level of meeting?

Step 4: Invite to Disciplinary Meeting

Write to the employee with:

• The specific allegations - Be detailed enough for them to respond
• The evidence - Include copies of relevant documents
• The potential outcomes - Including dismissal if applicable
• Meeting date, time and location
• Right to be accompanied
• Reasonable notice - Usually at least 48 hours

Step 5: Hold the Disciplinary Meeting

Before the Meeting

• Arrange a private room
• Ensure the decision-maker hasn't been involved in the investigation (if possible)
• Have a note-taker present
• Have all evidence to hand

During the Meeting

1. Explain the purpose and allegations
2. Present the evidence against them
3. Allow them to respond fully
4. Ask questions to clarify points
5. Let their companion participate appropriately
6. Adjourn if needed to consider new information
7. Don't make a decision in the meeting - adjourn to consider

The Companion's Role

The companion (colleague or union rep) can:

• Put the employee's case
• Summarise the key points
• Confer with the employee

They cannot:

• Answer questions for the employee
• Prevent the employer asking questions

Step 6: Make Your Decision

Consider:

• The evidence presented
• The employee's responses
• Their length of service
• Their disciplinary record
• How similar cases have been handled
• Whether dismissal is reasonable (for dismissal cases)

Possible Outcomes

Level	When Used	Duration
No action	Allegations not proven	N/A
Verbal warning	Minor misconduct, first offence	6 months typical
Written warning	More serious, or after verbal	12 months typical
Final written warning	Serious, or after written	12-24 months typical
Dismissal	Gross misconduct, or final warning in place	N/A

Step 7: Communicate the Decision

Write to the employee with:

• The decision and reasons
• Any sanction imposed and its duration
• What improvement is expected (if applicable)
• The right to appeal
• How to appeal and the deadline

Step 8: Handle the Appeal

If the employee appeals:

• Acknowledge receipt promptly
• Arrange an appeal hearing
• Use a more senior manager who wasn't involved
• Consider the grounds of appeal
• The appeal can uphold, overturn, or vary the original decision

Common Disciplinary Procedure Mistakes

1. Pre-judging the outcome - Keep an open mind throughout
2. Inadequate investigation - Don't rush this step
3. Not giving enough detail - The employee must know the case against them
4. Refusing a companion - It's a statutory right at disciplinary meetings
5. No right of appeal - This is essential under the ACAS Code
6. Inconsistent treatment - Similar cases must be treated similarly
7. Taking too long - Deal with matters promptly