Disciplinary procedures in the workplace: a complete guide

There’s no getting away from it: disciplinary procedures can be an uncomfortable experience for both employees and employers, but they’re inevitable – and are actually a legal requirement. At some point, every business is going to encounter a situation where disciplinary action is the only reasonable way forward. And without a robust set of procedures in place, you’ll be unprepared when that time does come.

That’s what we’re here to help with. In this guide, we’re going to tell you everything you need to know about disciplinary action in the workplace, helping you develop suitable processes that work for you and your employees. We’ll also delve into the reasons why a workplace disciplinary might be required, explain the different approaches that can be taken to resolve each situation, and cover the ins and outs of disciplinary hearings.

What is disciplinary action in the workplace?

First up, let’s look at the fundamentals. Think of disciplinary action as a last resort – if prior informal warnings or conversations with an employee haven’t resolved the issue, the only way forward is to begin the disciplinary process.

The formal procedure is a way for employers to take control and address poor conduct. Where previous attempts to warn the employee about poor conduct has been unsuccessful, or a performance improvement plan (PIP) uncovers that the employee is wilfully not performing, the disciplinary process is there to ensure that action is taken – be it in the form of a written warning or even the termination of the employee’s contract.

Steps to take prior to the disciplinary process

As we mentioned, disciplinary action is a last resort, not an immediate answer to issues in the workplace. As a line manager, there’s a lot you can do to try and change the course an employee is on, eliminating the need for any formal warnings or other disciplinary measures.

Hold a private meeting to discuss the issue

If an employee has done something wrong, the best place to start is by chatting with them face-to-face. You never know what might be going on in their personal life, and there may be a very good reason why they’re struggling to focus at work. It’s vital to get their side of the story before pushing ahead with disciplinary action.

When you sit down with the employee, begin by presenting your viewpoint and bringing the issue to their attention. Come from a place of empathy, expressing that you’re keen to hear their view on the situation – you’re far more likely to get a positive response this way.

Put together a list of next steps

Best-case scenario, the employee acknowledges the issue and is prepared to work on resolving it. But in order to measure their success, you’ll need to come up with a list of goals for them to work towards.

They could be simple actions, or an undertaking to not do something again. Either way, the employee needs to know what’s required of them in order to resolve the issue.

Once improvement expectations have been agreed, book in a follow up meeting with the employee to assess their progress towards meeting expectations.

When could workplace disciplinary procedures be required?

Unauthorised absences

If an employee has spent time off work without authorisation from a manager, they’ve breached their contract – and disciplinary action is likely the best way forward.

Behavioural issues or misconduct

Things like bullying, harassment or other inappropriate behaviour can all be grounds for a disciplinary.

Health and safety risks

Violations of health and safety policy can be grounds for immediate disciplinary action, especially if the health and wellbeing of other employees has been put at risk.

Theft in the workplace

If an employee has stolen (or even misused) equipment like a company laptop, phone or car, or has committed fraud such as claiming overtime they haven’t worked, arranging a disciplinary hearing is the best course of action.

What does a typical workplace disciplinary procedure look like?

Although it’s not a legal requirement, the Government advises all employers to follow the Acas Code of Practice on disciplinary and grievance procedures. This code of practice essentially sets the standard here in the UK, so it’s the perfect foundation for your company’s own internal policy.

Here’s a brief overview of what a typical disciplinary process might look like, just to give you an idea of what to expect.

Step 1: The investigation

It’s vital to establish the facts before arranging a formal disciplinary hearing. At this stage, your job is to work out if there’s even a case for a disciplinary hearing, gathering the evidence you need to fight your corner. If you can collect enough evidence to present in a hearing, you’ll then be able to move forward with the process. If not, try a more informal approach to resolving the issue first.

Step 2: The letter

Once you’ve gathered the evidence, it’s time to present your case to the employee in question. Write a letter or an email, outlining the facts of the case and inviting them to a formal disciplinary hearing. It’s important to include enough information in this letter for the employee to be able to respond to the allegations at the hearing; if they’re blindsided by new information at the hearing, they could have grounds to appeal any disciplinary action you choose to take.

In the letter, you should give the employee an outline of what the disciplinary process looks like, preparing them for the road ahead. You should also remind them of their rights, which include the ability to bring a witness to the hearing and their right to appeal any decision that’s made after the meeting.

You should include with the letter all the evidence from the investigation that you intend to rely upon.

Step 3: The hearing

What is a workplace disciplinary hearing?

This is the meeting where you present your case in full to the employee, giving them an opportunity to respond to the allegations. No decision is to be made during the hearing – that comes afterwards. Instead, the main objective is to get all the facts out in the open; you’ll have the chance to show all of the evidence you gathered during your investigation, and the employee will have the opportunity to respond.

Best practices for workplace disciplinary hearings

There are so many dos and don’ts in disciplinary hearings that it would be impossible for us to list them all here. However, the main objective is to conduct the meeting in a fair, balanced way, giving the employee no reasonable grounds to appeal the decision you make following the meeting. Some key best practices include:

• Presenting strong, clear evidence and giving the employee plenty of time to respond and present their point of view.
• Carry out the meeting with fairness and equality in mind, ensuring the employee is not discriminated against in any way. Focusing on the facts of the case – rather than subjective opinions – is vital.
• Explain the disciplinary procedure in detail to put the employee at ease, and allow them to ask questions throughout. Likewise, you can ask the employee questions to further clarify the facts of the case.
• Take plenty of notes throughout the meeting. If you want to record it to review later, you’ll need the consent of all parties present first.

Step 4: Taking action

With the meeting wrapped up, it’s time for you and your team to review all of the evidence and reach a conclusion.

You have a variety of different options open to you, from a written warning all the way through to termination of the employee’s contract. Whichever route you choose to take, you’ll need to present this decision (along with the reasons behind it) in a written letter or email to the employee. This letter should also remind them of their right to appeal the decision.

Step 5: The appeals process

If the employee does choose to appeal, you’ll then have to hold an appeal hearing with an independent chair to review the grounds for appeal before reaching an appropriate conclusion.

Where employees are still aggrieved by outcomes from the process, they may decide to lodge claims against their employer. We’ve previously written a separate blog on how to conduct employment tribunals; take a look at that to find out more about what they are and how they work.

Do you have a workplace disciplinary policy yet?

If you don’t yet have a disciplinary policy in place, or you’d like to make sure your existing policy is as robust as it can be, the team at Vero HR is here to help. Built on more than two decades of experience, our award-winning HR services are trusted by businesses large and small across the UK.

If you’d like to speak to one of our employment law or HR experts about the workplace disciplinary process, don’t hesitate to get in touch today. We’re here to help.