How to run a fair disciplinary process

Use discipline only for conduct concerns

Name the concern before opening a formal case. Misconduct is an alleged action or breach of a workplace rule. If the person is trying but cannot meet the required standard, use the capability process with clear expectations, support and time to improve. If health, disability or pregnancy may explain the problem, deal with the medical facts and possible adjustments before deciding that conduct is involved.

Handle an employee's complaint or protected disclosure under the correct process. A grievance may need to be heard alongside or before a disciplinary case. A disclosure about wrongdoing must not be relabelled as disloyalty. Check the evidence for an actual conduct concern before opening discipline.

Minor, isolated concerns can often be resolved with a clear informal conversation. Use the formal procedure when the allegation is serious, repeated or could lead to a warning or another sanction. The Acas disciplinary steps set out that choice for Great Britain. Northern Ireland employers should follow the separate nidirect disciplinary process, which reflects the Labour Relations Agency framework.

Investigate before forming a view

Write a short investigation scope: the possible conduct, relevant period, rules involved, evidence to preserve and person responsible for finding the facts. Gather material that may weaken the allegation as well as material that supports it. That may include messages, system records, policies, witness accounts and the employee's own explanation.

An investigator can decide whether there appears to be a case to answer. They should not choose the sanction. Where reasonably practicable, use different people for the investigation and disciplinary meeting. A small employer may have few managers, but it can still identify prior involvement and keep fact, inference and recommendation separate.

The Acas investigation guidance says the work should be fair and proportionate to the issue. Keep interview notes and explain any material conflict that could not be resolved. If the evidence points to no case, stop the disciplinary process and say so.

Write an allegation the employee can answer

If there is a case to answer, write each allegation as a factual statement. Say what the employee is alleged to have done, when it happened and which rule or expected standard may have been breached. Provide the relevant evidence, including material that gives necessary context, and state the possible consequences if the allegation is upheld.

Invite the employee to a private meeting at a reasonable time and place. Give them reasonable time to read the material and prepare; there is no universal number of days that suits every case. Include the meeting details, who will attend and the right to be accompanied.

Under the Acas Code, the statutory companion is a fellow worker, trade union representative or trade union official when the meeting could result in formal disciplinary action. If that companion cannot attend, the employer must accept a reasonable alternative within five working days of the original date. Northern Ireland provides the same practical accompaniment categories and postponement protection through its separate disciplinary framework.

Run a meeting that tests the case

The chair should explain each allegation and take the employee through the evidence. Ask open questions and give them a proper chance to respond, challenge the account, present relevant material and identify witnesses or facts that were missed. The companion may address the meeting, sum up and confer with the employee, but does not answer questions for them.

Make any reasonable adjustment needed for the employee to take part. That might change the room, format, timing, documents or communication support. Keep clear notes, but do not turn note-taking into a second interrogation.

If a significant new fact appears, adjourn and investigate it. Share any new material that will be relied on and reconvene if the employee needs another chance to answer. At the end, summarise the issues still in dispute and explain when the decision will follow. Do not announce an outcome that was drafted before the meeting.

Choose a proportionate outcome

Decide each allegation separately from the evidence and the employee's response. Consider seriousness, effect, relevant circumstances, the organisation's rules, current warnings and how genuinely comparable cases were handled. Avoid treating consistency as a tariff: two cases can justify different outcomes when the evidence or circumstances differ.

The outcome may be no action, informal guidance, a first written warning, a final written warning or dismissal. A warning should state the conduct found, the change required, how long it remains current and the consequence of further misconduct. Moving straight to a final warning needs a reason tied to the seriousness of this case.

Only an authorised decision-maker should dismiss. Check the contract and procedure before using demotion, loss of seniority or another sanction, because the employer needs authority for the action it takes. Do not increase an outcome because the employee denied the allegation or used their right to be accompanied.

Confirm the decision and hear any appeal

Write promptly with the finding on each allegation, the evidence and response considered, the reasons for the outcome and the date it takes effect. For a warning, include its active period, expected change, review arrangement and possible consequence of further misconduct. For dismissal, state the reason, employment end date, notice position and appeal route.

Tell the employee how and when to appeal under the organisation's procedure. An appeal may challenge the finding, process or proportionality, or introduce material evidence that was not reasonably available before. Hold another meeting, allow a companion and investigate any new point before reaching the final decision.

Where possible, use someone who was not involved and is senior to the original decision-maker. In a very small organisation, record why full separation was unavailable and have the appeal chair reconsider the case rather than defend the first decision. Confirm the appeal result and reasons in writing without unreasonable delay.

Keep one restricted case record containing the allegation, evidence, investigation notes, invitation, meeting record, decision, warning dates and appeal. Retain it for a defined purpose and period. The record should let a fresh reader understand how the evidence led to the outcome without filling gaps from memory.