Stage2: investigation

Stage3: invitation to disciplinary hearing

Stage4: the hearing

Stage5: writing to the employee after the hearing

Stage6: response to request for appeal

Stage7: the appeal hearing

Stage8: letter to employee with appeal decision

To take disciplinary proceedings against an employee, you must follow a fair procedure which can be time consuming.

Before starting on any procedure, remember to check your company handbook and ensure that you act in accordance with the procedure set out there. If you feel there is any conflict between the handbook and the information set out here, you should take further advice.

From 6 April 2009, it is also very important that you act in accordance with the ACAS code of practice on disciplinary and grievance procedures. The code must be followed in all cases where disciplinary procedures could result in a formal warning. This includes a verbal warning. This document can be viewed at http://www.acas.org.uk/CHttpHandler.ashx?id=1041. More detailed guidance can be found at http://www.acas.org.uk/CHttpHandler.ashx?id=1043.

Failure to follow the code does not in itself make you or your organisation liable to proceedings but employment tribunals will take it into account. Unreasonable failure to comply with the code (by either party to proceedings) may have financial consequences for the party who has failed to comply.

Note in particular that you must act promptly. Do not let misconduct proceedings drag on for weeks.

The procedures set out in this online training guide are intended to work in accordance with the ACAS guidelines. Note that if you unreasonably fail to act in accordance with the ACAS guidelines, any award made against you in the employment tribunal can be increased.

If you are at all unsure about the procedure for giving warnings, we recommend that you take a look at TM1: background to conduct warnings.

To understand the difference between formal and informal warnings (and whether a warning previously given is still valid), take a look at TM2: formal and informal warnings.

If there is any chance that the employee is accused of gross misconduct, we recommend you look at TM3: gross misconduct before proceeding.

Please note that if the employee has a disability which is in any way connected to the allegation (e.g. an employee with ME caught sleeping on the job), you need to consider the effect of the Disability Discrimination Act. Please be careful with disability! The definition of "disability" is very wide, and you might not be aware that the employee has a disability. Please see TM4: misconduct and disability. In particular ensure that you have considered and made any reasonable adjustments. 

Copyright Ironmonger Curtis LLP | Last updated: May 28 2010