Conducting a Disciplinary Process

What the process involves: 

The disciplinary process is there to protect both the business and the employee. Done properly, it supports fair decision‑making, reduces legal risk and reinforces your standards without damaging trust. 

A legally robust disciplinary process should follow the ACAS Code of Practice, which requires employers to carry out a fair and thorough investigation within a reasonable timeframe, share relevant evidence with the employee, hold properly‑conducted formal hearing and if relevant, an appeals processes, and issue outcomes that are consistent, reasonable, and well‑documented.  

Whilst following the ACAS Code of Practice isn’t legally required, tribunals can and do apply enhanced financial penalties when an employer has failed to follow the ACAS Code, including uplifts of up to 25% on compensation awards. This makes procedural accuracy absolutely essential!  For small businesses, the legal costs associated with preparation and attendance at an employment tribunal, notwithstanding any compensation uplifts awarded to a claimant can be financially devastating, with a single mishandled case posing a genuine threat to cashflow, and in some cases, the very survival of the business. 

This makes strict adherence to process not just best practice, but essential risk protection. Every stage, from the initial fact‑finding to the final decision must be handled carefully, transparently, and in a way that withstands legal scrutiny whilst maintaining employee trust.

1. Set clear rules and standards

• Define expectations: Make sure contracts, employee handbooks and policies clearly define conduct, performance and attendance standards.

• Communicate and train: Managers should understand the disciplinary policy, ACAS Code principles and when to use informal vs formal action.

2. Use informal resolution where appropriate

• Early conversations: For minor issues, start with a quiet, informal discussion to reset expectations and agree improvements.

• Document briefly: Keep a short note of what was discussed and any agreed actions, without labelling it as a formal warning (which cannot occur without a disciplinary process having taken place).

3. Decide if formal action is needed

• Assess the concern: Consider seriousness, impact, past history and any other current warnings.

• Check suspension: For potential gross misconduct, consider a neutral suspension on full pay - only if necessary and proportionate.

4. Investigate the issue

• Gather facts: Take statements, review documents, CCTV, emails and system records as needed. Compile a confidential investigation report.

• Keep it separate: Wherever possible, the investigating manager should always be a different manager from the chair of the disciplinary hearing chair and again, separate from an appeal hearing chair. 

• Share evidence: Prepare an investigation pack for the employee if the matter proceeds to a hearing.

5. Invite the employee to a disciplinary hearing

• Written invite: Set out the allegations in a formal letter detailing the possible outcomes (including dismissal only if relevant). Advise the employee of the date, time and location of the meeting.

• Right to be accompanied: Confirm the employee's right to be accompanied by a colleague or trade union representative.

• Provide documents: Provide the evidence that you will rely on and a copy of the business disciplinary and any other policies that you or the employee may rely upon that are relevant to the matter. 

6. Hold a fair disciplinary hearing

• Explain the case: Outline the allegations and evidence in a neutral, factual way.

• Listen to the employee's response: Allow the employee (and companion) to ask questions, challenge evidence and present their own version of events and any evidence.

• Consider any witness testimony.

• Adjourn to decide: Adjourn the meeting to either gather further evidence that may have been provided by the employee, or if satisfied that all of the evidence has been gathered and discussed, take a break to consider all of the information before reaching any decision.  

7. Decide on an appropriate outcome

• Apply consistency: Consider the evidence, any mitigation presented by the employee,  live warnings and how similar cases were handled by the business.

• Possible outcomes: No action, informal action, first written warning, final written warning, dismissal (with or without notice, depending on the nature of misconduct).

• Record rationale: Note the reasons for your decision and how you weighed the evidence.

8. Confirm the decision in writing

• Outcome letter: Summarise the allegations, findings, decision, sanction given, duration of any warning and expectations regarding performance going forward and next steps if performance doesn’t improve.

• Support and improvement: Where the employee remains in their role, set out any support available, training or monitoring arrangements.

9. Offer and if applicable, manage the appeal

• Right of appeal: Confirm the date by which the employee has the right to appeal and to whom they should do so (ensure that this aligns with your appeals policy).

• Independent review: Wherever possible, a different, and more senior manager should hear the appeal.

• Appeal outcome: The appeal meeting is the opportunity for the employee to explain why they feel that they should not have been given a sanction.  The appeal hearing manager should consider all points raised by the employee, write to the employee stating the outcome of the appeal hearing and close the process.

10. Learn, review and refine

• Review patterns: Look for recurring issues that may indicate training, culture or workload problems.

• If appropriate, take the opportunity to reiterate expected behaviours from employees.

• Update documents: Keep your disciplinary policy, manager guidance and training materials aligned with the ACAS Code and current UK employment law.

How Amicus People can help: 

We can guide or lead employee investigations, draft all compliant documentation and associated correspondence, support hearings, train managers and ensure that every stage of the process aligns with the ACAS Code and current employment law. Our expertise helps you manage disciplinary matters with clarity, confidence, consistency and, importantly, fairness. Independent HR support is especially valuable when concerns involve senior leaders or board members, where neutrality, discretion and procedural rigour are essential. 

Need more advice? Get in touch today.