Even in well-run businesses, it may sometimes be necessary to take disciplinary action against employees. Therefore it's crucial that you have written disciplinary rules and procedures. If problems do arise, these procedures should help dissuade employees from making tribunal claims and ensure you deal with employees fairly.

1. Handling disciplinaries
Table of contents
Handling disciplinaries 2
Introduction 2
Disciplinary procedures and the employment
contract 2
Setting out disciplinary rules and procedures 3
Investigating disciplinary matters 4
Informal and formal disciplinary action 5
The statutory dismissal and disciplinary
procedures 6
Preparing for a disciplinary hearing 8
Holding a disciplinary hearing 8
Dealing with grievances raised during
disciplinary procedures 10
Types of disciplinary penalty 10
Appeals against disciplinary decisions 11
Helplines 13
Related guides on businesslink.gov.uk 13
Related web sites you might find useful 13
Created by Business Link on 16 September 2009 14:45
You can personalise content from the Business Link website
and download it in PDF format. This is a free service
Handling disciplinaries | Created by Business Link on 16 September 2009 14:45 è Crown copyright 2007 Page 1

2. Handling disciplinaries
Subjects covered in this guide
Introduction
Introduction
Even in well-run businesses, it may
Disciplinary procedures and the employment sometimes be necessary to take disciplinary
contract action against employees.
Setting out disciplinary rules and procedures Therefore it's crucial that you have written
disciplinary rules and procedures. If
Investigating disciplinary matters problems do arise, these procedures should
help dissuade employees from making
Informal and formal disciplinary action tribunal claims and ensure you deal with
employees fairly.
The statutory dismissal and disciplinary
procedures
Your rules and procedures should:
Preparing for a disciplinary hearing
• be set out in writing
Holding a disciplinary hearing • follow the good-practice principles
set out in the Acas code of practice
Dealing with grievances raised during
on disciplinary and grievance
disciplinary procedures procedures
Types of disciplinary penalty
Failure to meet this requirement may result
Appeals against disciplinary decisions in extra compensation for the employee if
they succeed in a tribunal claim.
Helplines
Related guides on businesslink.gov.uk This guide outlines what you need to put in
your procedures, how to handle disciplinary
Related web sites you might find useful issues in practice, and what disciplinary
penalties you can apply.
Disciplinary procedures and the
You can find this guide by navigating to: employment contract
Home > Employing people > Disciplinary You must by law tell each employee about:
problems, disputes and grievances >
Handling disciplinaries • your disciplinary rules
• your disciplinary/dismissal procedure
• the name of the person to whom they
should appeal if they are unhappy
about a disciplinary or dismissal
decision
Handling disciplinaries | Created by Business Link on 16 September 2009 14:45 è Crown copyright 2007 Page 2

3. Handling disciplinaries
This information can be included in the Your disciplinary rules should - at the very
employee's written statement or the written least - cover conduct issues relating to:
statement may refer the employee to a
document where they may read the • absence
information, eg in a staff handbook. • timekeeping
• performance
If you fail to provide this information to an • health and safety
employee, they could be awarded two or • personal appearance
four weeks' pay - but only if they succeed in • discrimination, bullying and
another employment tribunal claim against harassment
you, eg unfair dismissal. • smoking, and alcohol and drugs
consumption
The contractual status of disciplinary • use of company facilities and
procedures equipment for personal reasons in
work time, eg use of the internet, or
Your dismissal/disciplinary procedure does particular websites such as
not automatically form part of an Facebook, instant messaging
employment contract. Therefore, an services, web-based email, company
employee cannot claim breach of contract if email and telephones
you fail to follow it.
This list is not exhaustive - you cannot cover
However, if you choose to make your everything that might lead to disciplinary
disciplinary procedure contractual and you action and there may be other rules you
fail to follow it when taking disciplinary need to include for your type of business.
action, the employee could bring a
breach-of-contract claim against you. Your rules should make it clear that if an
employee fails to meet the minimum
See our guide on the employment standards of conduct, you may begin
contract or use our interactive tool to disciplinary action against them.
create a written statement of
employment. See our guide on how to set up
employment policies for your business.
Setting out disciplinary rules and The rules should also give examples of the
procedures type of behaviour you will treat as gross
misconduct - misconduct judged so serious
It's important that you tell your employees that it's likely to lead to dismissal without
about your rules governing what behaviour notice such as:
is unacceptable in the workplace - and the
consequences if you find they have
breached them. • bullying and harassment
• drunkenness/drug abuse
• fighting at work
Setting out disciplinary rules
• fraud
• gross negligence/insubordination
Handling disciplinaries | Created by Business Link on 16 September 2009 14:45 è Crown copyright 2007 Page 3

4. Handling disciplinaries
• serious breaches of health and
safety taking any action. Consider:
• theft
• wilful damage to property • the alleged breach of discipline, the
• use of the internet or email to access circumstances and consequences of
pornographic, obscene or offensive the breach
material • the employee's job, experience,
length of service and disciplinary
Make it clear that the list is not exhaustive. record
What counts as gross misconduct varies • the evidence of witnesses
depending on the type of business and the • any recent changes to the job
role of the employee. • any previous incidents
• whether the employee has received
appropriate counselling or training
Setting out disciplinary procedures
• any mitigating circumstances, eg
Your disciplinary procedure should accord health or domestic problems, or
with the good-practice principles set out in provocation
the Acas code of practice on disciplinary
and grievance procedures. Once you have taken these factors into
account, review the evidence to determine
If you unreasonably fail to follow the code whether there is:
during a disciplinary procedure and the
issue ends up at an employment tribunal, • a case to answer, or whether the
the tribunal could increase any case is serious enough for
compensation it may award the employee disciplinary measures
by up to 25 per cent. • an alternative to disciplinary action,
eg an informal chat or redeployment
Consulting employees on your
disciplinary rules and procedure Suspending an employee while an
investigation takes place
You may want to consult with your
employees when putting together your For certain serious offences you may need
disciplinary rules and procedure. to suspend an employee while you
investigate the matter. They should continue
If you have any workplace representatives, it to receive their full pay.
may be more convenient if you carry out this
consultation via them, ie via either trade You can only suspend an employee without
union or, if there are none, elected pay if this is allowed in their contract of
employee representatives. employment. However, try to avoid unpaid
suspension as it may appear to penalise an
employee before any disciplinary hearing
Investigating disciplinary matters has taken place.
When faced with a potential disciplinary Criminal offences
matter, carry out a full investigation before
Handling disciplinaries | Created by Business Link on 16 September 2009 14:45 è Crown copyright 2007 Page 4

5. Handling disciplinaries
Don't dismiss someone merely because misconduct
they have been charged with or convicted of
a criminal offence, either at work or outside In cases of misconduct, you should have a
it. You should investigate what action is meeting with the employee to explain the
justified given the employee's role and disciplinary procedure and your reasons for
consider whether it affects their suitability to going ahead with it. After this, you could
carry on. either drop the matter or issue:
If it does, use your normal disciplinary • a verbal warning
procedure. If it doesn't, decide whether you • a written warning
can keep their job open during any period of • a second written warning, or
absence. • a final written warning, if necessary
Base your decision on a reasonable belief After giving a warning, you should allow the
following an investigation into the employee time to improve their behaviour.
circumstances. However, if a criminal You should only issue a further warning or
charge has been made, don't put off taking hold a formal disciplinary hearing if the
appropriate, fair and reasonable disciplinary previous warning has no effect.
action merely because the outcome of the
prosecution isn't yet known. If you decide that you need to hold a formal
disciplinary hearing, this is the point at which
the statutory dismissal and disciplinary
Informal and formal disciplinary procedures (SDDPs) begin to apply - but
only if you started the disciplinary action
action before 6 April 2009.
If an employee's performance or conduct
does not meet your standards, you should If you started the disciplinary action on or
try to help that employee to improve. Have after 6 April 2009, you don't need to follow
an informal discussion with the employee as these procedures. However, your procedure
soon as problems arise, explain the problem should accord with the good-practice
and agree actions with them. This kind of principles set out in the Acas code of
informal chat is not part of any formal practice on disciplinary and grievance
disciplinary procedure. procedures.
If the employee's poor conduct or Find guidance on which rules apply to
performance persists, you may have to take the disciplinary action you're taking on
formal disciplinary action. the Department for Business, Innovation
& Skills (BIS) website - Opens in a new
Note that the employee has the right to be window.
accompanied at the formal disciplinary
meeting by a colleague or union In certain cases of very serious misconduct,
representative. it may be appropriate to bypass a stage in
order to deal with the matter quickly.
Formal disciplinary action for
Handling disciplinaries | Created by Business Link on 16 September 2009 14:45 è Crown copyright 2007 Page 5

6. Handling disciplinaries
Formal disciplinary action for poor You must follow one of the statutory
performance dismissal and disciplinary procedures
(SDDPs) below if you started taking
In cases of poor performance, the procedure disciplinary/dismissal action against an
is different. As a first step, meet with the employee before 6 April 2009.
employee to agree an improvement plan.
This should include a realistic timescale for
improvement, details of support to be given There are standard and modified SDDPs. In
to the employee - eg training - and a date for almost all cases, you should follow the
a performance review. Make notes of what standard one.
you agree and use it as an agenda for the
review. Transitional arrangements for applying
the statutory procedures
If your employee's performance has not You do not have to follow the appropriate
improved after the review, you should SDDP when the 'trigger event' occurs on or
consider issuing a verbal warning. Carry out after 6 April 2009.
a further review - if performance still hasn't
improved, you should consider issuing a
written - or final written - warning. The trigger event could be either:
If their performance continues to fail to meet • the date you start the disciplinary or
the required standards, you should consider dismissal procedure - usually the
either issuing a final written warning or, if date you send a letter to the
you have done this already, holding a formal employee informing them that you
disciplinary hearing. This is the point at are contemplating dismissing them or
which the SDDPs begin to apply - but only if taking disciplinary action against
you started the disciplinary action before 6 them
April 2009. • the date of the disciplinary
action/dismissal itself, when no such
letter has been sent
If you started the disciplinary action on or
after 6 April 2009, you don't need to follow
these procedures. However, your procedure However, you still have to follow the
should accord with the good-practice appropriate SDDP where the trigger event
principles set out in the Acas code of occurred before 6 April 2009. This is the
practice on disciplinary and grievance case even if - after that date - you:
procedures.
• held or will hold the disciplinary
For more information on the SDDPs, see the hearing
page in this guide on the statutory • held or will hold an appeal hearing (if
dismissal and disciplinary procedures. requested)
In these circumstances, you cannot agree
The statutory dismissal and with an employee not to follow the SDDPs.
disciplinary procedures
Handling disciplinaries | Created by Business Link on 16 September 2009 14:45 è Crown copyright 2007 Page 6

7. Handling disciplinaries
Find out more about transitional drunkenness.
arrangements for the SDDPs on the
Department for Business, Innovation & The procedure has two stages:
Skills (BIS) website - Opens in a new
window.
1. Written statement - give the
employee a written statement setting
The standard SDDP
out the conduct that has resulted in
The standard SDDP has three stages: their dismissal and informing them of
their right to appeal.
2. Appeal meeting - if the employee
1. Inform the employee in writing why wishes to appeal, they must inform
you are contemplating dismissing or you. Hold an appeal meeting and
taking some other disciplinary action then inform the employee of your
against them and invite them to a decision.
meeting. Make sure you give them
enough time to prepare. Provide the
employee with copies of any The employee has the right to be
evidence that you may use at that accompanied at the meeting by a colleague
meeting. or union representative.
2. Hold the meeting with the employee.
After the meeting, inform them of You have to follow the 'old' Acas code of
your decision and, if you have practice on disciplinary and grievance
decided to dismiss them or apply a procedures throughout the entire disciplinary
disciplinary penalty, notify them of process, as the code is taken into account
their right to appeal. If new by tribunals when dealing with unfair
information arises during the meeting dismissal claims.
that may affect your decision, end
the meeting and investigate the Download the old code of practice on
matter further. Rearrange the disciplinary and grievance procedures
meeting if necessary. from the Acas website (PDF, 327K) -
3. If the employee wishes to appeal, Opens in a new window.
invite them to a further meeting. See
the page in this guide on appeals
against disciplinary decisions. In addition, if you fail to follow the
appropriate SDDP and the employee's
tribunal claim is successful, their
The employee has the right to be compensation can be increased by up to 50
accompanied at both meetings by a per cent.
colleague or union representative.
When the SDDPs don't apply
The modified SDDP
The law sets out some circumstances where
The modified SDDP only applies in very rare you don't have to follow the appropriate
cases of gross misconduct, ie where an SDDP. These are where:
employee's misconduct is so bad that you
dismiss them immediately, eg fighting or
Handling disciplinaries | Created by Business Link on 16 September 2009 14:45 è Crown copyright 2007 Page 7

8. Handling disciplinaries
• It's not possible for employment to • Carry out a full investigation. See
continue, eg where the workplace the page in this guide on
burns down and no suitable investigating disciplinary matters.
alternative premises are available. • Make sure you have all relevant
• You dismiss an employee for taking facts and documents (including
industrial action (although in the case details of any past disciplinary action
of lawful, officially-organised action, taken against the employee)
special arrangements apply). available for the hearing.
• Owing to factors beyond your control, • Inform any manager and
it is effectively impossible for you to witnesses who may need to attend.
complete or even start the • Obtain witness statements from
procedure, eg if the employee leaves any witnesses unable to attend the
the country or becomes seriously ill. hearing.
• You dismissed the employee • Arrange for someone to take notes.
because it would be illegal to • Arrange for another manager to
continue to employ them, eg where attend the hearing to act as a witness
you employed them as a driver but to the proper conduct of the hearing.
they became disqualified from driving • Arrange a suitable time, date and
and there was no suitable alternative venue for the hearing.
work for them to do.
• The issue concerned is a collective You should also ensure the employee has:
one, eg where you are under a duty
to consult workplace representatives
in a collective redundancy situation • plenty of time so they can prepare
or where you dismiss a group of their case and consult any
employees but immediately offer representatives
them re-employment on different • details of the complaint, the
terms and conditions. procedure to be followed and the
• When the employee's behaviour is need for them to attend a disciplinary
so violent or unreasonable that you hearing
cannot be expected to go through the • their right to be accompanied at the
procedure with them. This exemption hearing by a colleague or trade union
is to cover cases where you have official
real reason to fear violence, • copies of any documents you intend
harassment or vandalism, not just to rely on as evidence against the
where the employee is being difficult employee
or unpleasant.
If the employee is a trade union official, it is
advisable to discuss the case with a full-time
Preparing for a disciplinary hearing trade union officer or senior trade union
representative.
Before you hold a disciplinary hearing:
• Familiarise yourself with your Holding a disciplinary hearing
disciplinary procedure so you apply it
correctly. For any disciplinary hearing:
Handling disciplinaries | Created by Business Link on 16 September 2009 14:45 è Crown copyright 2007 Page 8

9. Handling disciplinaries
penalty
• ensure that it's private and won't be • the reasoning behind the decision
interrupted • the specific improvement that is
• introduce everyone and explain why required - if any
they are present • how long any warning is going to
• explain the reason for the hearing remain in force
and how it will be conducted • what will happen if they continue to
• describe the exact nature of the perform or behave poorly
complaint and go through the • the right of appeal and how this
evidence should be carried out - see the page
• allow the employee to see any in this guide on appeals against
documents they haven't already seen disciplinary decisions
• give the employee a chance to state
their case and to respond to any
Dealing with delays
allegations made
• ensure that you get all the facts If the employee is genuinely unable to
relating to the complaint and take attend the disciplinary hearing, eg because
note of any special circumstances they are ill, offer them an alternative at a
• summarise what's been discussed reasonable date and time.
and highlight any issues that need to
be investigated further
If the employee's companion cannot make
the re-arranged hearing, the employee must
If it becomes clear during the hearing that propose another date and time no more
the employee has a satisfactory than five days after your proposed date.
explanation for their conduct/performance,
stop the hearing and take no further action.
Also stop the meeting if the employee is too If the employee fails to attend the
distressed to continue or further rearranged hearing, this stage of the
investigation seems necessary. procedure is complete and you can make
your decision there and then. Don't forget
that you will still have to tell them in writing
If an employee raises a separate grievance of the decision and that they have the right
during a disciplinary hearing, you may have to appeal.
to call a halt to the hearing and deal with the
grievance first. See the page in this guide on
dealing with grievances raised during Note that if you cannot make the hearing,
disciplinary procedures. you must offer the employee an reasonable
alternative date and time.
Informing the employee of your decision
It is important that you notify the employee
Following a disciplinary hearing, you should as soon as possible of any delays. If you fail
inform the employee as soon as possible in to do so, a tribunal could increase any
writing of: compensation awarded against you.
• the disciplinary penalty you plan to Dealing with long-term absence
impose, if any - see the page in this
guide on types of disciplinary An employee may well become anxious and
Handling disciplinaries | Created by Business Link on 16 September 2009 14:45 è Crown copyright 2007 Page 9

10. Handling disciplinaries
stressed in the run-up to a disciplinary If this happens, you should suggest that,
hearing. This can lead in some cases to after the hearing, they raise a formal
them being absent for weeks or even grievance in writing.
months due to stress-related illness.
However, if you begin to doubt why the the
If this situation arises, you can ask the disciplinary action is being taken, you should
employee's GP and/or an occupational end the meeting. You should then make
health specialist for a medical report. (You further investigations to confirm that the
must gain the employee's agreement before reasons for taking the action are sound and
doing so.) justifiable.
You should ask for the report to state If the employee formally raises a grievance
whether or not the employee is fit enough to after a disciplinary hearing but before any
attend a hearing in the near future: appeal hearing, you can discuss this at the
appeal stage. The appeal hearing will also
• If they are deemed fit enough, you become a grievance hearing and the two
should arrange the hearing with the procedures will overlap.
employee in the normal way.
• If not, you might not be able to If the employee formally raises a grievance
complete the disciplinary procedure during or after any appeal hearing, you will
without unreasonable delay. In this have to complete your grievance procedure
situation, you can treat the procedure in full.
as having been completed and make
a decision in the employee's For more information about grievances, see
absence. However, you should still our guide on handling grievances.
tell the employee that they can
supply written material for their
defence if they wish. Types of disciplinary penalty
After a disciplinary hearing, you could:
Dealing with grievances raised
during disciplinary procedures • drop the matter
• issue another written - or a final
At some point during the disciplinary written - warning
process, the employee concerned may raise • provide counselling or training to help
a grievance. For example, they may claim resolve the matter
that: • apply a disciplinary penalty, eg
demotion or dismissal
• the disciplinary action involves
unlawful discrimination Take account of factors such as the
• the real reason for you taking the employee's previous record and any special
disciplinary action is not the one you circumstances in making your decision. For
claim it is a list of possible factors to consider see the
page in this guide on investigating
Handling disciplinaries | Created by Business Link on 16 September 2009 14:45 è Crown copyright 2007 Page 10

11. Handling disciplinaries
disciplinary matters.
For gross misconduct you may be able to
dismiss immediately without giving notice or
Disciplinary penalties other than
pay in lieu of notice. However, summary
dismissal dismissal is generally not recommended.
If you feel that the employee's misconduct
or poor performance was not bad enough to Ideally, for any misconduct - gross or
dismiss them, provided their contract allows, otherwise - you should:
you could:
• investigate the incident fully
• transfer them to another job • suspend the employee on full pay
• demote them during the investigation where
• fine them, eg by non-payment of necessary
bonuses • follow the standard SDDP if
• suspend them without pay - this is necessary - although this only
not very common these days and applies if the disciplinary action
means that you lose the employee's began before 6 April 2009
services for a time
For more on investigations, see the page in
To avoid potential claims to an employment this guide on investigating disciplinary
tribunal, you should expressly provide for matters.
any of these sanctions in the contract of
employment. See our guide on the For more information on the SDDPs, see the
employment contract. page in this guide on the statutory
dismissal and disciplinary procedures.
Dismissal
The most severe disciplinary penalty is
dismissal. Normally you should only dismiss
Appeals against disciplinary
if - during the entire disciplinary process - decisions
you have:
An employee has the right to appeal against
your decision following the disciplinary
• Issued warnings. hearing. You must notify them of this right
• Made it clear that if they failed to when you write to give them the decision.
improve their conduct or Give them a deadline to notify you of their
performance they could be intention to appeal, eg within ten working
dismissed. days.
• Followed - at the very least - the
standard statutory dismissal and
disciplinary procedure (SDDP). If the employee does appeal, you must try to
Failure to do so will make any hold the appeal hearing without
dismissal automatically unfair. Note, unnecessary delay.
however, that this only applies if the
disciplinary action began before 6 Preparing for an appeal hearing
April 2009.
Before you hold an appeal hearing:
Handling disciplinaries | Created by Business Link on 16 September 2009 14:45 è Crown copyright 2007 Page 11

12. Handling disciplinaries
• Familiarise yourself with the appeal shouldn't be the same person that heard the
stage of your disciplinary procedure initial hearing, eg a more senior manager
to ensure that you are applying it who has not been involved with the
correctly. disciplinary process at all. They will be able
• Make sure you have all relevant facts to hear any appeal without having any
and documents, especially if you assumptions.
have come across new evidence
since the first hearing. However, where the person hearing the
• Arrange a suitable time, date and appeal is the same person who heard the
venue for the hearing. first hearing, they should act impartially and
• Inform the worker in plenty of time so make sure they review the original decision
they can prepare their case and carefully.
consult any representatives. Remind
them that they have the right to be
accompanied at the hearing by a You should write to the employee with your
colleague or trade union official. decision and the reason for it as soon as
• Inform any manager and witnesses possible after the hearing. Make it clear, if
who may need to attend. this is the case, that the decision is final.
• Obtain witness statements from any
witnesses unable to attend the Appeals to external bodies
hearing.
• Arrange for someone to take notes. Some industries, eg the construction
• If possible, arrange for another industry, have procedures for dealing with
manager to attend the hearing to act appeals agreed between employer bodies
as a witness to the proper conduct of and trade unions. This should be stated
the hearing. If this is not possible, eg during the disciplinary procedure.
where there is only one manager and
one employee, the person holding Dealing with delays
the meeting must be impartial.
If the employee is genuinely unable to
attend the appeal hearing, eg because they
Holding an appeal hearing are ill, you must offer them an alternative at
The principles for holding an appeal hearing a reasonable date and time.
are generally the same as for the initial
disciplinary hearing - see the page in this If the employee's companion cannot make
guide on holding a disciplinary hearing. the rearranged hearing, the employee must
propose another date and time no more
However, at the appeal hearing, you should than five days after your proposed date.
also consider:
If the employee fails to attend the
• the reasoning behind the appeal rearranged hearing, this stage of the
• any new evidence since the earlier procedure is complete and you can make
decision your decision there and then. Don't forget
that you will still have to tell them in writing
of the decision.
Ideally the person hearing the appeal
Handling disciplinaries | Created by Business Link on 16 September 2009 14:45 è Crown copyright 2007 Page 12

13. Handling disciplinaries
Note that if you cannot make the hearing, Dispute resolution guidance on the Acas
you must offer the employee a reasonable website - Opens in a new window
alternative date and time.
Handling discipline and grievance
It is important that you notify the employee training courses on the Acas website -
as soon as possible of any delays to the Opens in a new window
appeal process. If you fail to do so, a
tribunal could increase any compensation Which rules apply to the disciplinary
awarded against you. action you're taking on the BIS website -
Opens in a new window
Helplines
Right to be accompanied at disciplinary
Acas Helpline hearings guidance on the Acas website -
Opens in a new window
08457 47 47 47
Sample disciplinary procedures on the
Acas website - Opens in a new window
Related guides on
Model letters and notices of disciplinary
businesslink.gov.uk matters on the Acas website - Opens in a
Use our interactive tool to create a new window
written statement of employment | Use
our interactive tool to help you follow the Download disciplinary and grievance
correct disciplinary procedure | Improve procedures code of practice from the
the performance of your staff | The Acas website (PDF, 327K) - Opens in a
employment contract | Dismissal | new window
Handling employment tribunal claims |
Keep the right staff records | Set up
employment policies for your business |
Bullying and harassment | Work
effectively with trade unions | Working
with employee representatives | Making
an employee redundant | Industrial
disputes | Comply with data protection
legislation | Manage absence and
sickness | How to deal with stress |
Handling grievances | Prevent
discrimination and value diversity | Issue
the correct periods of notice |
Related web sites you might find
useful
Handling disciplinaries | Created by Business Link on 16 September 2009 14:45 è Crown copyright 2007 Page 13