A Proper Disciplinary Hearing Should Focus on Improving Employee Performance, Says Neil Atkinson

When it comes to the delicate balance of employer-employee relations, managing a disciplinary process remains one of the most challenging responsibilities for businesses and human resource professionals alike. Handling these sensitive situations requires high emotional intelligence and careful adherence to protocol. Without the right approach, organizations quickly run the risk of triggering costly employment tribunals, facing claims of unfair dismissal, or damaging workplace morale beyond repair. Industry experts emphasize that the primary goal of any disciplinary procedure should not be immediate punishment or termination, but rather a constructive effort to improve employee performance and correct workplace behavior.

Creating a Legally Compliant Procedure

At the heart of any effective disciplinary framework is the fundamental objective to rehabilitate rather than dismiss. When an incident of misconduct occurs, the process must ensure that the staff member is given every reasonable opportunity to rectify their conduct before any severe sanctions or punitive measures are applied. This balanced approach protects the employee’s livelihood while enabling the employer to benefit from the individual’s best possible performance moving forward.

While advisory frameworks such as the ACAS Code of Practice are not strictly binding pieces of legislation, compliance with their guidelines is heavily factored into employment tribunal decisions. Employers who fail to follow established codes of practice risk severe financial penalties, including potential compensation uplifts of up to 25% against their business. Adhering to the ACAS Code of Practice on Disciplinary and Grievance Procedures ensures that the rights and duties of both parties are clearly defined, allowing employers to navigate complex legal landscapes without falling foul of employment law. Furthermore, the code establishes clear expectations, meaning that if an employee fails to engage with the process—such as repeatedly missing scheduled meetings—tribunals may reduce compensation awards accordingly.

Understanding the Boundaries of Discipline

Navigating what falls under the umbrella of a formal disciplinary process requires clear definitions. Typically, these procedures are reserved for instances of workplace misconduct. This can range from standard behavioral infractions inside the office to incidents occurring outside standard working hours, such as inappropriate conduct at a company Christmas party. Serious or gross misconduct, which carries severe repercussions like summary dismissal, involves extreme breaches of trust and safety, including fraud, physical violence, gross negligence, and serious insubordination.

However, distinguishing true disciplinary matters from other personnel issues is vital to maintaining fairness and objectivity. Mitigating circumstances must always be assessed before any formal action is taken. For instance, if an employee is struggling with output or quality of work, the situation should be addressed through a capability review rather than punitive disciplinary channels. Similarly, absence resulting from genuine ill health does not constitute a disciplinary offense unless clear evidence suggests the employee is deliberately shirking responsibilities. In cases of sickness absence, employers are expected to follow designated absence management procedures. Conflating capability issues, health absences, and actual misconduct can expose a business to significant legal vulnerabilities.

Structuring the Disciplinary Process

When formal action is deemed necessary, organizations must follow a structured, equitable sequence of events. The process ideally begins by exploring whether the issue can be resolved informally, such as through private discussions and the agreement of a targeted improvement plan. If informal measures fail, any disciplinary action must be entirely proportionate to the alleged misconduct. Before deciding on a sanction—ranging from a first warning to dismissal—decision-makers must carefully review the facts, the impact of the behavior, any historical precedents in similar cases, and the employee’s prior disciplinary record.

The ACAS Code explicitly recommends that employees be afforded at least one opportunity to improve their performance or behavior before a final written warning is issued, reserving dismissal without prior warnings strictly for cases of gross misconduct.

As a legal requirement, employers must formally notify the employee in writing about the disciplinary allegations against them, the potential consequences, and the details of the upcoming hearing. Employees must also be explicitly informed of their statutory right to be accompanied to the hearing. This companion can be a trade union representative, a workplace colleague, or an official employed by a trade union. For disabled employees, organizations are legally obligated to make reasonable adjustments, which may include permitting a support worker or specialist representative to attend.

Investigation and Impartial Decision-Making

Prior to convening a disciplinary hearing, employers must appoint an impartial investigator to examine the allegations thoroughly. The investigator should ideally be a relatively senior individual who understands the workplace context and company policies. Their mandate is to establish the facts objectively by reviewing relevant documentation—such as emails, written notes, and CCTV footage—and by conducting face-to-face interviews with the employee and any witnesses. Witness statements must be signed, dated, and accompanied by an explanation that the witness may be called upon to attend the formal hearing.

Once the investigation concludes, the investigator compiles a report determining whether a formal disciplinary case exists. If the evidence warrants it, the matter moves to a disciplinary hearing overseen by a completely separate disciplinary officer to ensure absolute impartiality and separation from the investigative phase.

The hearing itself should be scheduled promptly while still affording the employee adequate time to prepare their defense. During the meeting, both the employer and the employee—along with their chosen companion—are given the opportunity to present their respective cases clearly. Following the hearing, the employer must carefully deliberate, compile confidential written records of the proceedings, and communicate the outcome to the employee within a reasonable timeframe.

Should the employee’s conduct fail to improve within any agreed-upon timeframe, the disciplinary process may need to be repeated or escalated, ultimately leading toward dismissal if no other fair and reasonable resolution remains. Conversely, if no further action is required, all involved parties must be informed, and staff should be reminded of the importance of maintaining confidentiality regarding internal personnel matters.

Finally, employers must always provide a formal right of appeal if a sanction, particularly a dismissal, is handed down. Confidential records of all disciplinary cases—including those that resulted in no further action—must be securely retained only for as long as necessary to comply with legal obligations and internal policies.