Disciplinary procedure

It is a fact-finding process before it is an outcome

A disciplinary procedure gives an employer a fair way to examine an allegation and lets the employee answer it before any decision is made. In Great Britain, the usual stages are investigation, written notice of the allegation, a hearing, a reasoned written decision and an appeal. The Acas step-by-step procedure explains each stage.

Where practicable, different people should investigate, chair the hearing and hear an appeal. In a small organisation that is not always possible, but the employer should still identify conflicts and make the process as impartial as it reasonably can.

Conduct and capability need different thinking

Misconduct concerns behaviour or a breach of workplace rules. Capability concerns whether someone can perform the job to the required standard. Performance problems usually call for clear expectations, support, training and time to improve. An employer may use a separate capability procedure, but it should still follow fair principles.

Tell the employee enough detail to understand the case and provide the relevant evidence before the hearing. Let them respond, ask questions and be accompanied where the statutory right applies.

Make a proportionate, recorded decision

Decide from the evidence gathered, the organisation's rules, how similar cases were handled and any relevant circumstances. State whether the allegation is upheld, the outcome, how long a warning remains active and what improvement is expected. Confirm the appeal route.

The current 2015 Acas Code remains the Great Britain baseline. Northern Ireland has a different framework, summarised in the nidirect disciplinary guidance. Keep the allegation, evidence, notes, decision and appeal together so the record shows both what happened and how the conclusion was reached.

Review the guidance again if a replacement Code is published, laid or approved, and when it comes into force. Draft wording does not replace the current 2015 Code.