What is the appeal stage of a disciplinary process?

As an HR professional handling an appeal hearing can often be a challenge.

To help you out, Head of HR Services Nathan Andrews has put together this article outlining the best practices for chairing appeal hearings to ensure compliance with ACAS guidelines and UK employment law.

What is the appeal stage of a disciplinary process?

The appeal stage of a disciplinary or grievance process is critical in ensuring that decisions are fair, transparent, and legally robust.

Employees have a statutory right to appeal disciplinary decisions and mishandling an appeal can lead to employment tribunal claims.

For HR professionals and business leaders, chairing an appeal hearing effectively, requires impartiality, a structured process, and a fair reassessment of the original decision.

Related article: How to conducts a disciplinary procedure.

What are the benefits of a Fair Appeal Process?

As an organisation there are a number of benefits of having a fair appeal process:

•  Legal Compliance  
  • Ensures that you follow a fair process in line with ACAS guidelines.
•  Risk Reduction  
  • A well-conducted appeal hearing can prevent you from having claims of unfair dismissal or discrimination made against your organisation.
•  Reinforces Employee Trust  
  • Demonstrates to employees that your organisation takes concerns seriously.
•  Ensures Consistency
  • Helps you standardise decision-making across the business.

Appeal hearings are not just a rubber-stamping exercise, they give you an opportunity to correct errors or identify unfair decisions made in the original hearing.

You can read my article on what a fair disciplinary procedure as a whole looks like here.

Step-by-Step Guide to Chairing an Appeal Hearing

1. Appoint an Impartial Chairperson

As an HR professional you should ensure that the appeal should be chaired by someone who:

• Was not involved in the original decision.
• Has the authority to overturn or uphold the decision.
• Can remain neutral and review the case objectively.

For senior-level disputes or high-risk cases, external HR professionals or legal advisors may be required to ensure fairness.

You can find out more about what an independent chair is here.

2. Notify the Employee in Writing

The employee should be invited to attend the appeal hearing in writing and the invite letter should set out:

• The date, time, and location of the hearing.
• Who will be chairing the appeal.
• A clear summary of the original decision and the reason for the appeal.
• Their right to be accompanied by a colleague or trade union representative.

The invitation must give the employee sufficient time to prepare their case.

3. Understand the Grounds for Appeal

Employees will typically appeal on the basis of:

•  Procedural flaws  
  • Errors in the original hearing process.
• New evidence  
  • Information that was unavailable at the time of the first hearing.
•  Unfair or disproportionate outcome
  • If the disciplinary action was too severe.

The appointed chairperson must review all points of appeal carefully before making a final decision.

4. Conduct the Appeal Hearing Fairly

As an HR professional you should ensure that appeal hearings follow a structured format:

1. Opening Statement  
   1. Explain the purpose of the hearing and outline the process.
2. Employee’s Case  
   1. The employee should then be allowed to present their appeal and supporting evidence.
3. Employer’s Response  
   1. The decision-maker from the original hearing should summarise in writing or present in person at the appeal hearing, their justification for the decisions they reached.
4. Questioning
   1. The chairperson can ask questions to clarify facts.
5. Review of Evidence
   1. Any new evidence should be examined impartially.
6. Closing Statements
   1. Both parties summarise their position before the hearing ends.

It is important that you ensure the hearing d is conducted in a calm, professional manner, and is focused on fact-finding, not being confrontational.

5. Make a Balanced and Justified Decision

After reviewing all evidence, the appeal chairperson must determine whether to:

•  Uphold the original decision  
  • If the original disciplinary action was fair and reasonable.
•  Overturn the decision  
  • If there were procedural flaws or new evidence changes the case.
•  Modify the decision
  • If a lesser penalty (e.g., reducing a dismissal to a final warning) is more appropriate.

The final decision must be based on facts and aligned with company policies and legal standards.

6. Communicate the Outcome in Writing

It is important that the employee receives a formal written outcome of the appeal, which should include:

•  The decision (upheld, modified, or overturned).
•  A summary of the reasons for the decision.
•  Any further actions (e.g., reinstatement, retraining, or policy changes).
•  A confirmation that the decision is final (unless the appeal process allows a further step).

Providing a clear, well-documented outcome helps protect the employer from potential legal claims.

What are some common mistakes to avoid in an appeal hearing?

Some common mistakes you should avoid during the appeal process are:

• Using the same decision-maker
  • The appeal should be handled by an independent person.
• Failing to review new evidence  
  • Appeals should be genuine reassessments, not just a repeat of the first hearing.
• Rushing the process  
  • Decisions should be thorough and well-documented.
• Ignoring procedural fairness  
  • Employees must be given a fair chance to present their appeal.

Specialist HR Adviser’s

A well-conducted appeal hearing ensures fairness, compliance, and transparency in disciplinary decisions.

As an HR professional handling appeals correctly will not only mitigate legal risks but also demonstrate a commitment to the fair treatment of employees. Showcasing this commitment will help with employee retention.

We offer independent HR case management and expert chairing of disciplinary, grievance and appeal hearings to support businesses in maintaining legal compliance and fairness.

You can find out more about all of our HR services here and get in touch with the team on 01202 499255 with any questions. We offer all new clients a free initial chat.