Step 1: Create and publish a fair disciplinary policy

A clear, well-communicated policy sets expectations and provides a consistent framework for all disciplinary decisions.

Begin with a written policy that defines misconduct, the stages of the process (informal, formal, disciplinary), who conducts each stage, the rights to be accompanied, and the timescales involved. Align the policy with the ACAS Code of Practice and relevant statutory requirements so decisions are consistent and defensible if scrutinised in a tribunal.

Make the policy easily accessible to all staff and ensure managers are trained to apply it evenly. Communicate the policy during onboarding and provide regular refresher sessions to reinforce understanding and consistency.

Conclude with a simple, step-by-step outline of what happens if misconduct occurs and how staff can challenge or respond at each stage.

• Written policy covering misconduct and disciplinary stages
• Clear thresholds for sanctions and escalation
• Rights to be accompanied at formal procedures
• Uniform application across all staff and managers

Step 2: Investigate promptly and impartially

An efficient investigation gathers facts quickly while avoiding bias.

Investigations should start promptly after an allegation and be thorough, impartial and self-checking for bias. Collect documentary evidence, interview relevant witnesses, and preserve confidentiality where possible. Avoid pre-judging the outcome and document every step of the process.

Produce a factual summary or report that records what was investigated, who was interviewed, what evidence was reviewed, and the key findings. Share a copy of the report with the employee before the disciplinary hearing so they can respond.

There is no fixed deadline for an investigation, but a timely, reasonable timeframe helps fairness and keeps the process on track. If delays occur, explain the reasons and adjust timelines accordingly.

• Interview relevant witnesses and gather documents
• Keep evidence confidential and avoid tampering
• Document findings clearly and accurately
• Provide a copy of the investigation report to the employee before the hearing

1. 1) Gather evidence and documents 2) Interview employees and witnesses 3) Prepare an objective investigation report 4) Share findings with the employee before the hearing

Step 3: Hold a proper disciplinary hearing

The hearing gives the employee a fair chance to respond and present their side.

Schedule the hearing with reasonable notice, provide all material in advance, and allow the employee to be accompanied by a colleague or trade union representative. Ensure the hearing is conducted by an impartial decision-maker who will consider the evidence presented.

Minutes should be taken and kept with the case file, and the employee should have the opportunity to challenge evidence and question witnesses within the bounds of fairness.

• Notify the employee of hearing details in advance
• Share all evidence with the employee before the hearing
• Allow representation or a support person
• Take accurate minutes and preserve the record

1. 1) Notify and arrange the hearing 2) Disclose evidence in advance 3) Allow accompaniment 4) Discuss the evidence and take notes 5) Conclude with a clear basis for decision

Step 4: Decide, communicate and document

The decision must be fair, proportionate and clearly explained in writing.

Make a findings-based decision using the evidence from the investigation and hearing. Ensure the sanction is proportionate to the misconduct and consistent with prior cases. Provide a written outcome that explains findings, the action taken, and the timeframe for implementation and any appeal rights.

Send the decision promptly and include details on how to appeal. A well-drafted decision letter helps minimise ambiguity and future disputes.

• Base the decision on evidence and ensure proportionality
• Provide a clear written outcome and timeframes
• Explain the right to appeal and how to appeal
• Keep a formal record for HR and auditing purposes

1. 1) Assess the evidence 2) Draft the decision letter 3) Communicate the outcome 4) Outline the appeal process

Step 5: Appeal rights and organisational learning

Right of appeal and learning from outcomes help close fairness loop.

Employees should have a clear right of appeal and the appeal hearing should re-examine the evidence in light of any new information. Consider new evidence or arguments, and ensure the final decision is well-reasoned.

Use the results of disciplinary outcomes to update policies, training, and controls to prevent recurrence and improve workplace practices. Document lessons learned and monitor implementation.

• Provide a clear, accessible appeal process
• Reconsider evidence with any new information
• Update policies and training based on outcomes
• Document lessons learned and monitor improvements

1. 1) Accept the appeal 2) Reopen evidence review 3) Make a final decision 4) Communicate the outcome and any changes to policy or practice