A guide to the disciplinary process 

What is a disciplinary hearing?

A disciplinary hearing would usually be described as a formal hearing between employer and employee which could be attended by an accompanying Colleague or Trade Union Rep.

The purpose of the hearing is for the Employer to put too the Employee an allegation/s pertaining to alleged acts of misconduct allegedly committed by the Employee. A disciplinary hearing would usually follow a recent Investigation meeting.

How do I arrange a disciplinary hearing?

A formal disciplinary invitation letter will usually be sent to the employee confirming the following:
Date and time of the hearing

• A list of allegations against the employee
• An evidence list and evidence pack which will be referred to at the disciplinary hearing
• The Employee’s right to be accompanied and by who
• The name and job title of the person chairing the disciplinary hearing
• Confirmation of potential outcomes following the disciplinary
• How much notice do I need to give the employee for the disciplinary hearing?
• The ACAS code of practice does not give a specific time frame on how much notice should be given to an employee ahead of the
• disciplinary hearing however it is commonly found that 48 hrs notice is just and equitable in most cases.

What are the rights of the colleague or trade union rep in a disciplinary scenario? The Colleague or Trade Union Representative should be placed at no detriment by the Employer for undertaking this duty.

The colleague or trade union representative have the following rights in the meeting:

• They have the right to address the chairperson/attendees of the meeting.
• They have the right to make statements on the employee’s behalf.
• They have the right to confer with the Employee during the hearing.
• They have the right to view evidence and makes notes.

They do not have the right to:

• Speak on the employee’s behalf in a way that interferes with or stops the employer from explaining their case, or indeed prevents any other individual at the hearing from contributing.
• Answer questions specifically put to the employee by the chairperson
• Who should be the chairperson of a disciplinary hearing?
• The hearing should, where possible, be chaired by an independent manager/director or other person of senior authority to the
• investigating officer. Where possible the chairperson should not have been involved in the investigation process.

What is the role of the employer’s minute/note taker?
It is advised that the employer has a note taker present to take minutes of the meeting and to act as a witness. It is very important that meeting notes are a true reflection of the conversation that has taken place and reflect what has been said in the meeting, rather than just an overview of the meeting. Ideally notes should be signed by all parties in attendance upon the conclusion of the meeting.

Can the meeting content be recorded with a recording device?
Yes, with the employee’s knowledge and consent. A copy of the recording should be shared with the employee after the meeting following request. It should be noted however that in the event of Tribunal action the employer will most likely still be required to provide a transcript of the recording.

Consideration in deciding an outcome
Whenever a disciplinary chairperson is looking at what outcome to issue after a disciplinary hearing, the Chairperson has to consider whether the outcome falls within the bands of reasonable responses. Basically, the outcome must be proportionate to the allegation set out to the employee.

For lower levels of misconduct, a written warning can be issued to the employee. Usually, written warnings will stay in place usually for six months dependent on company policy and procedure.

A final written warning can be issued for more serious acts of misconduct, where the employee’s actions have had a serious impact on the trust and confidence that the employer holds in them.

A final written warning can also be issued where an employee has persistent low levels of misconduct, and a ‘live’ written warning is already on file. Usually, a final written warning will stay in place for 12 months.

If an employee is already in receipt of a final written warning, an employer could consider moving to a dismissal. If an employer is pursuing a contractual dismissal, then the dismissal must be served with notice where the employee works their notice period or is paid in lieu of their notice and leaves immediately.

Finally, if an employee is found guilty of Gross Misconduct, then they could be summarily dismissed which means that no notice or payment in lieu of notice would be given to the employee.

Any sanction against the employee should come with a right of appeal.