A clear and robust disciplinary procedure is essential for maintaining fairness, consistency, and legal compliance in the workplace. Whether dealing with misconduct or performance issues, how you manage these situations can significantly affect employee trust, organisational culture, and your legal risk.
Disciplinary processes are not simply about punishment; they are about upholding standards, offering a chance for improvement, and protecting both the business and its employees. When done correctly, they provide clarity, reinforce expectations, and create a framework for accountability.
Following the ACAS Code of Practice on Disciplinary and Grievance Procedures is crucial. This statutory guidance helps employers apply fair procedures and can be referenced in employment tribunal decisions. Failing to follow the Code could result in increased compensation awards in tribunal cases.
At Kingfisher, we support HR teams and line managers through every stage of the disciplinary process, from policy development and investigation support to templates, training, and advice on handling hearings. Our goal is to ensure employers have the right tools and confidence to manage conduct issues fairly and legally.
What Is a Disciplinary Procedure?
A disciplinary procedure is a formal process employers use to address issues of misconduct or behaviour that falls below acceptable standards. Its purpose is to ensure that employees are treated fairly, consistently, and transparently when concerns arise.
The key principles of any effective disciplinary procedure are:
- Fairness: ensuring all employees are treated equally and without bias.
- Consistency: applying rules uniformly across all staff and situations.
- Transparency: making sure employees understand the process and are given the opportunity to respond.
The Employment Rights Act 1996 and the ACAS Code of Practice form the backbone of lawful disciplinary procedures in the UK. While the ACAS Code is not legally binding, tribunals consider whether it was followed when assessing claims. A failure to do so can result in compensation increases of up to 25%.
If disciplinary action is handled poorly, without adequate investigation, notice, or opportunity for the employee to respond, it could lead to claims of unfair dismissal, discrimination, or breach of contract. These not only expose employers to financial risk but can also damage morale, reputation, and staff retention.
Disciplinary procedures offer clarity, structure, and legal security, but only if they are followed correctly.
When to Use a Disciplinary Procedure
It is important to distinguish between issues of misconduct and performance. Disciplinary procedures typically address behavioural concerns, such as lateness, dishonesty, or inappropriate conduct, rather than underperformance or lack of capability.
For minor issues, it may be appropriate to address concerns informally – through a quiet word, coaching, or a verbal warning. This often resolves the issue quickly without the need for formal action and can help preserve working relationships.
However, if the behaviour is serious, repeated, or poses a risk to others or the business, a formal disciplinary process should be initiated. Examples include:
- Repeated lateness despite warnings
- Breach of company policies
- Inappropriate use of social media
- Acts of gross misconduct (e.g., theft, violence, harassment)
When deciding whether to escalate to formal action, employers should consider:
- The seriousness of the issue
- Whether there is a pattern of behaviour
- Any prior attempts at informal resolution
Proceeding without due process or overreacting to minor issues can damage trust and lead to costly legal challenges.
Step-by-Step: How to Run a Fair Disciplinary Process
Managing a disciplinary issue requires careful planning and execution. The following steps align with the ACAS Code and help ensure procedural fairness.
Step 1: Investigating the Issue
The first stage is a thorough investigation to establish the facts. An impartial investigator, who should not be the disciplinary decision-maker, should be appointed.
They will:
- Review any complaints or incidents
- Gather documentary evidence (emails, records, CCTV)
- Interview witnesses and the employee involved
- Take detailed notes and compile a written report
Investigations should be conducted promptly but thoroughly. Avoid making assumptions before all the facts are known. The investigation must be neutral; its purpose is to establish whether there is a case to answer, not to prove guilt.
Failing to investigate properly is one of the most common disciplinary errors and can undermine the entire process.
Step 2: Deciding on Suspension
If the alleged behaviour is serious and poses a risk to the business or others, you may consider a suspension. This should only be used when necessary and must be on full pay.
Suspension is a neutral act, not a punishment, and should be communicated as such. The employee should be informed in writing, with a clear explanation of the reason and expected duration.
Where possible, explore alternatives to suspension, such as temporary redeployment or restricted duties.
Step 3: Sending the Disciplinary Invite
If the investigation confirms a case to answer, the next step is to invite the employee to a formal disciplinary hearing.
The invite letter must include:
- The specific allegations being considered
- A summary of the evidence
- The date, time, and location of the hearing
- The employee’s right to be accompanied by a colleague or trade union representative
Employees must be given reasonable notice (typically 48 hours or more) to prepare. Include copies of any documents or evidence to be discussed at the meeting.
Step 4: Holding the Disciplinary Hearing
The disciplinary hearing provides the employee with a full opportunity to respond to the allegations.
The meeting should:
- Be led by an impartial manager who has not been involved in the investigation
- Begin with a recap of the allegations and evidence
- Allow the employee (and companion) to present their side of the story
- Include time for questions and clarification
The companion can support the employee by speaking on their behalf or conferring privately but cannot answer questions for them.
Maintain a calm, respectful tone and ensure the meeting is accurately documented. The employer must not pre-judge the outcome and must give genuine consideration to the employee’s explanation.
Step 5: Making and Communicating the Decision
Once the hearing concludes, the employer should take time to consider all the information before deciding on a fair and proportionate outcome.
Potential outcomes include:
- No action
- Informal or formal warning
- Final written warning
- Dismissal (with or without notice depending on the severity)
Sanctions should be consistent with past decisions in similar cases and take account of any mitigating factors.
The outcome letter must:
- Summarise the decision and reasoning
- Set out any sanctions and the duration of warnings
- Confirm the employee’s right to appeal
Step 6: Appeal Process
Employees must be given the right to appeal the decision. Grounds might include new evidence, perceived bias, or disproportionate sanctions.
The appeal should be:
- Heard by someone not involved in the original process
- Conducted fairly and without delay
- Concluded with a written outcome letter summarising the findings
This final stage offers closure and may help avoid further disputes or tribunal claims.
Common Mistakes to Avoid
Disciplinary procedures can quickly become problematic if not handled carefully. Mistakes to avoid include:
- Inconsistent sanctions: treating similar cases differently can lead to claims of unfairness or discrimination.
- Skipping the investigation: failing to gather evidence undermines the entire process.
- Insufficient notice or vague allegations: employees must understand what they are being accused of.
- Ignoring the right to be accompanied: this is a legal entitlement and must be upheld.
- Poor documentation: without records, it is difficult to defend decisions if challenged.
Being thorough, consistent, and well-prepared can prevent costly errors and protect your business.
Tools for Managers: Scripts, Templates, and Checklists
Managing a disciplinary process is daunting without the right tools. Kingfisher provides:
- Templates for disciplinary invite letters, outcome letters, and appeal letters – legally sound and ready to use.
- Manager scripts to guide key conversations and maintain consistency.
- Disciplinary checklists to ensure no step is missed.
- Record-keeping logs to track decisions and create an audit trail.
These resources save time, improve confidence, and reduce the risk of procedural errors. With clear guidance, managers can focus on running fair processes instead of worrying about compliance.
How Kingfisher Can Help
At Kingfisher, we provide expert HR and employment law support to help employers handle disciplinary matters with confidence.
Our services include:
- Developing or reviewing disciplinary policies tailored to your workplace
- Supporting investigations, hearings, and appeals
- Delivering manager training on legal compliance and best practice
- 24/7 access to qualified advisers for real-time guidance
We work with businesses of all sizes to reduce legal risk, improve consistency, and create fairer, more compliant workplaces.
Conclusion
A structured, fair disciplinary process is vital for upholding workplace standards and protecting your organisation. It ensures issues are managed consistently and legally, reinforcing trust and professionalism.
If your disciplinary procedure is unclear, outdated, or inconsistently applied, now is the time to act. With Kingfisher’s support, you can put a solid process in place, complete with training, tools, and advice to handle workplace issues fairly and confidently.