What is a fair disciplinary procedure?

A fair and impartial disciplinary process is essential for maintaining workplace standards while ensuring employees are treated lawfully and with dignity and respect.

In this article, Head of HR Services, Nathan Andrews outlines the key principles of conducting disciplinary proceedings fairly, in line with ACAS guidelines and HR best practices.

Why is fairness important in disciplinary procedures?

If you don’t follow a legally compliant and fair process it can lead to claims of unfair dismissal, discrimination, or constructive dismissal. These can potentially result in costly employment tribunal claims.

You must ensure that disciplinary processes are fair, transparent, and consistent. A well-structured approach will:

• Protect against legal challenges.
• Uphold employee trust in organisational procedures.
• Promote a culture of addressing issues openly and transparently (while maintaining confidentiality) without creating a culture of fear.

The ACAS Code of Practice on Disciplinary and Grievance Procedures serves as the benchmark for fairness in the UK.  While not legally binding, tribunals will assess whether an employer followed the ACAS Code when handling a dispute.

What is a fair disciplinary procedure?

1. Establishing Clear Policies

A robust disciplinary policy, aligned with the ACAS guidance, should outline:

• The types of misconduct that may lead to disciplinary action.
• The steps in the process, from investigation to appeal.
• Employee rights, including the right to be accompanied.

You should give all employees access to this policy in an employee handbook or as a standalone policy document.

2. Conducting a Thorough Investigation

Before deciding on disciplinary action, it is essential that you conduct a fact-finding investigation. You should:

• Assign an impartial investigator, separate from the decision-maker.
• Collect evidence, including witness statements and documentation.
• Keep records of all findings in case of a challenge in the Employment Tribunal.

If misconduct is serious, the employee may be suspended on full pay during the investigation. However, suspension should not be a default response, as per ACAS best practice.

You can read my colleague Chris Dobbs article on the do’s and don’ts of Workplace Investigations here.

3. Providing a Fair Hearing

If the outcome of the investigation suggests disciplinary action is required, you must invite the employee to a formal hearing.  This should include:

• Sending written notice of the hearing, outlining the allegations.
• Providing access to all relevant evidence in advance.
• Allowing the employee to be accompanied by a trade union rep or colleague.

During the hearing:

• The employee should have the chance to present their case.
• You should listen to explanations and mitigating circumstances.
• The decision-maker must remain neutral and objective.

4. Reaching a Fair Decision

After reviewing all evidence, you should decide on an appropriate disciplinary action. The possible outcomes of this include:

• No action, if the evidence is inconclusive or the allegations are unfounded.
• Informal warnings for minor issues.
• Formal written warnings for more serious misconduct.
• Dismissal for gross misconduct, following proper procedures.

It is vital to remain consistent, therefore similar offences should lead to similar disciplinary outcomes to prevent claims of unfair treatment.

5. Offering a Right of Appeal

Employees must be given the right to appeal against any disciplinary decision. The appeal process should:

• Be handled by a senior manager or HR professional who was not involved in the original decision.
• Allow the employee to present additional evidence.
• Review whether the disciplinary procedure was fair and reasonable.
• If the appeal is upheld, the disciplinary outcome may be revoked or amended.

You can read my colleague Chris Dobbs article on conducting Disciplinary Procedures here.

How can employers avoid pitfalls in disciplinary procedures?

Skipping the investigation stage – Failing to investigate can lead to tribunal claims.

Prejudging the outcome – A decision should only be made after the hearing and consideration of all the available evidence.

Ignoring procedural fairness – Employees have a legal right to representation and an appeal.

Inconsistent treatment – Disciplinary action should align with past cases to avoid discrimination claims.

Specialist HR Services?

Handling disciplinary issues fairly and consistently protects both you and your employees. By following a structured process, businesses can maintain workplace standards while minimising legal risks.

At Frettens Solicitors, we offer expert HR case management and chairing of formal hearings to support you in conducting fair disciplinary processes. You can find out more about all of our HR Services here.

If you need professional HR support contact our team today, on 01202 499255 or by filling out the form, for guidance on handling disciplinary matters effectively.

We offer all new clients a free initial chat, where you will get the opportunity to discuss your needs with the team you will be working with.

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