A complete guide to disciplinary hearings

What are disciplinaries and appeals?

A disciplinary hearing is a meeting that takes place after an employee acts in a way that isn’t in accordance with the company’s code of conduct. An appeal hearing is the process that occurs after the disciplinary hearing, which is a formal request made by the employee if they believe the outcome was unfair or incorrect. These processes ensure fairness, transparency and legal compliance. 

Understanding disciplinaries

Knowing when to take disciplinary action is essential for both employers and employees, as it ensures that workplace issues are managed transparently. A disciplinary process is typically initiated when an employee is suspected of misconduct or underperformance. Employment law requires this be carried out in a structured manner – including proper investigation, clear communication, and the opportunity for the employee to respond to the allegations brought against them. 

Common reasons for disciplinaries

There are many reasons for disciplinary proceedings, but the most common one is misconduct. This can be anything from repeated lateness, absenteeism without good reason, and inappropriate behaviour, i.e. rudeness, bullying, harassment or breach of company policies such as dress code violations or excessive mobile phone usage. 

Gross misconduct, which is often the case for dismissal when proven, includes theft or fraud, physical violence, serious breaches of health and safety, or working under the influence of alcohol. 

Other common reasons include poor performance, breach of confidentiality, and misuse of company time or property.

The process, step by step

1. Before the disciplinary process, it’s important to explore whether the situation can be dealt with through an informal resolution – especially in the case of minor issues. This gives an employee a chance to correct their behaviour without a formal record being put in place. 
2. If the allegation is serious enough, the employer needs to investigate and gather relevant facts. This can be done through speaking to witnesses, asking the employee for a witness statement, and reviewing emails, documents, or CCTV. 
3. A disciplinary bundle is then collated and shared with the employee at least 48 hours before a disciplinary hearing. This allows the employee to present their side, respond to evidence, and ask questions. 
4. The disciplinary hearing is chaired by someone impartial with no involvement in the investigation stage. 
5. After the hearing, all evidence is considered. A decision will be one of the following: 

• No action 
• Verbal or written warning
• Demotion, if internal policy allows 
• Final written warning
• Dismissal 

After the decision has been delivered, the employee has the right to appeal the decision if they’re unhappy with the outcome. 

Appeals

Most employers set a time limit for submitting an appeal, which is usually within five to 10 working days of the decision.  This needs to be done in writing, clearly stating the grounds for the appeal and what the preferred outcome is. The appeal hearing is arranged by a manager not previously involved in the case, and the employee has the right to be accompanied by a colleague or trade union representative, before both sides present their case, including any new evidence. 

The case is reviewed, and a decision is given, with the employer considering whether the original decision was reasonable, based on the evidence. The outcome of this will be ‘upheld’, ‘partially upheld’ or ‘overturned’ which is communicated and confirmed to the employee in writing. This is usually the final word, with no further right of appeal within the organisation.

A case study

Flatman v Essex County Council - Constructive dismissal (Test Content) | Croner-i 

An employer failed to provide training and didn’t conduct proper risk assessments. An employee tribunal appeal found that the employer’s failure constituted a fundamental breach of contract.

• Ms Flatman was a learning support assistant in a council-run school. Her role caring for a disabled pupil involved heavy lifting; however, no manual handling training was ever arranged, despite her request for this. 
• Shortly after she suffered back problems and was signed off work for three weeks. Before her return the employer told her that she’d be reassigned to another class and manual handling training would be arranged. Subsequently, she resigned and claimed constructive dismissal. 
• Ms Flatman lost the claim 
• She appealed the decision 
• At appeal the decision was found to be flawed since it had only considered events surrounding the time of the resignation.  They should have looked at whether there’d been a breach any time since September 2017, which was when she started caring for the pupil
• Breach of implied duty to provide safety at work became fundamental by the time Ms Flatman was signed off, and later communications were not considered 
• Tribunals will take all the employer’s related actions or inactions into account, not just at the time of the dismissal or resignation
• Subsequent actions of the employer do not always mitigate a tribunal’s ruling 

Best practice for employers

We recommend the following: 

• Ensure clear procedures and codes of conduct are followed, which are in line with your organisation’s disciplinary policy 
• Check that timelines and documentation are consistent with this policy 
• Send a written invitation to the employee, which clearly states the allegations, hearing details, and potential outcomes
• In this invitation, include all evidence to be discussed and remind the employee of their right to be accompanied
• Allocate an impartial chairperson who can produce a fair and impartial outcome

What to avoid

It’s vital for an employer to remain objective, put personal feelings aside, and avoid either ambiguous terms or emotionally charged terms. Ensure consistency across disciplinary matters and treat all similar cases in the same way to avoid claims of bias or unfair treatment.  And finally… never break protocol and ‘do your own thing’; make sure that you stick to the agreed structure and process.

Howden’s advice

A well-managed disciplinary process is essential for maintaining fairness, transparency and trust in the workplace. Whether addressing misconduct or performance issues, employers must follow a clear, structured procedure that respects employees’ rights and complies with employment law. This includes proper investigation, clear communication, the right to be heard, and the right to appeal. 

If you’re involved in a business or organisation that’s dealing with similar issues or is trying to manage a disciplinary, we suggest you get in touch with our specialist team here at Howden. We appreciate that every situation is different and should be dealt with fairly and appropriately. And you can rely on us to ensure you follow a fair and legally compliant process that protects both your business and your employees.