Disciplinary and Dismissal Procedures – for Employees

Posted on Sep 9th, 2008 | Employment law

Generally, freelancers and often workers are not covered under these procedures.

Updated for 2016. Our Advisors cannot answer employment questions via telephone. If you have a query leave a comment below or call the Acas Helpline on 0300 123 1100

All Employers are required by law, as a minimum, to outline their disciplinary rules and procedures in an employees written statement of terms and conditions. The written statement can refer staff onto the Employers full, written Disciplinary Policy which Employers (of any size) are advised to have, and which they should let employees have access to.

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Employers do not have to follow a statutory disciplinary procedure any more, but the 2009 ACAS code of practice on disciplinary and grievance procedures sets out the basic principles that should be followed – see below. (However, in Northern Ireland the statutory dismissal and disciplinary procedures has not been repealed and therefore still needs to be followed and the ACAS code of practice does not apply – the NI Labour Relations Agency has an equivalent code of practice that has been effective from 3rd April 2011).

Your Employer may have their own written Policy and this may be contractual (i.e. forms part of your contract) or not.

If your Employer has a contractual disciplinary policy but does not follow this your Employer will be in breach of contract. If you are dismissed without your Employer following a contractual disciplinary policy you can bring a claim for breach of contract in a County Court or High Court, or wrongful dismissal (i.e. dismissal in breach of contract – regarding the notice period and loss of salary over the period in which the disciplinary procedure should have been followed) and unfair dismissal in an Employment Tribunal. If you are dismissed before you have 1 years continuous service (or 2 years for employment starting from 6th April 2012) then you do not have a right to claim unfair dismissal but you may have the right to claim breach of contract if the situation above applies to you. For more details on unfair dismissal see our article here on ‘how your employment can come to an end‘.

Your employer can call any employee to a disciplinary hearing if they think you have done something wrong (ideally they should talk to you informally first if the circumstances are appropriate). Your employer will use the disciplinary hearing as a way of explaining to you what they think you have done wrong, ask for your side of the situation; at the end they will explain what improvement (or other outcome) there needs to be.

Employees have a legal right to request that a fellow worker or Trade Union official can accompany them to grievance and disciplinary hearings. However, following a recent 2009 Court of Appeal decision, that is still subject to Appeal (so ongoing), there may be certain situations where a qualified LEGAL representative may be able to accompany the employee at a disciplinary hearing – mostly where there is a contractual right to legal representation in regulated professions and the outcome of the hearing could deprive them of their right to practice their profession.

See our article here on the common mistakes that Employers make when holding disciplinary meetings. In ‘Should Employers fear the office party‘ we look at problems that can occur at office parties and other types of misconduct inside and outside of work, and the steps Employers should take to handle this.

You can get advice, if you face disciplinary action, from your employers HR/Personnel department or a relevant manager, a union if you are a member, your local Citizens Advice Bureau (CAB), or by contacting ACAS on 08457 474747.

See our new article here about whether you can audio-record disciplinary meetings.

The previous Statutory Disciplinary and Dismissal procedures was repealed in April 2009 (not in Northern Ireland) and a new ACAS Code of Practice on Disciplinary and Grievance Procedures was introduced:

  • Therefore for all ‘Disciplinary’ situations (misconduct and poor performance that happen after April 2009) the new Code provides practical guidance in dealing with them, but failure by Employers to follow the Code itself, no longer makes the Employer liable to Employment Tribunal proceedings. However, Employment Tribunals will take the code into account and can adjust any awards for Unfair Dismissal an Employee may receive, up or down, depending if the Employee and Employer has followed the Code or not. An unreasonable failure to follow the code can result in a tribunal increasing awards of compensation to the employee by up to 25%.

The Code does not apply to dismissals for redundancy and does not apply to the non-renewal of a fixed term contract. In 2016, it was confirmed in Phoenix House v Stockman that the 25% uplift for non-compliance with the Code does not apply to dismissals for SOSR (some other substantial reason), where the breakdown in a working relationship is irretrievable and following some parts of the Code would be inappropriate.

  • This code also covers how people who are ill or disabled are treated when dismissed by their Employer because of their incapacity (for more information see Workline’s advice on Equal Opportunities and Disability and our advice on How Your Employment Can Come to an End). In 2016 in Holmes v Qinetiq Limited the Employment Appeal Tribunal confirmed that dismissals, where poor performance is a result of genuine illness, will also not be covered by the Code.

The details of the code are:

DISCIPLINE – Keys to handling disciplinary issues in the workplace

The employer establishes the facts of each case
  • It is important for the employer to carry out necessary investigations of potential disciplinary matters without unreasonable delay to establish the facts of the case. In some cases this will require the holding of an investigatory meeting with the employee before proceeding to any disciplinary hearing. In others, the investigatory stage will be the collation of evidence by the employer for use at any disciplinary hearing. For a misconduct dismissal to be fair an Employer has to show that at the time of the dismissal it believed the employee to be guilty of misconduct and that it had reasonable grounds for believing this, having carried out “as much investigation into the matter as was reasonable in all the circumstances”.

In the 2015 case of Williams v Leeds United Football Club, the High Court found that in principle there is no limit on the length of time that can pass between an employee’s gross misconduct and their dismissal without notice, if the employer was unaware of the employee’s wrongdoing during that time. (This was a breach of contract/wrongful dismissal claim and not a tribunal/unfair dismissal claim). In 2013 the football club carried out a senior management restructuring and Mr Williams was given 3 months notice of redundancy. A day later the Club wrote to Mr Williams requiring him to attend a disciplinary hearing where he was accused of gross misconduct for e-mailing pictures set in the showers of the football Club which they said were ‘hard core pornography’ – the e-mail had been forwarded from Mr Williams work e-mail account to a friend 5.5 years before. The Club relied on a breakdown in trust and confidence in Mr Williams to justify his summary dismissal. However, the Club had decided to investigate Mr Williams and other managers, before the initial notice of termination for redundancy, to find evidence to justify their dismissal for gross misconduct in order to avoid responsibility for redundancy payments and notice, and had hired a firm of forensic investigators to do this! The case was complicated and fact specific but the Court dismissed Mr Williams claim for wrongful dismissal and damages.

  • There are no ‘rules’ as to the level of investigation the Employer should conduct into the employee’s suspected misconduct, it will depend on the particular circumstances. However, the investigation should take place prior to any disciplinary action and the following points need to be considered when carrying out the investigation:
    • Identify the allegation to be investigated. Where there are several strands or line of defence to be investigated, it may not be necessary for the Employer to investigate each, as long as their investigation is reasonable.
    • The investigating ‘officer’ must have no previous involvement in, or knowledge of, the matter, if at all possible; and should keep an open mind; and conduct the investigation as quickly as possible.
    • The ‘accused’ employee and witnesses need to be interviewed (not all witnesses need to be interviewed if a fact has been clearly established).
    • Keep notes/records of the investigation meeting. Ask the witnesses if they agree that the notes are a true reflection of the conversation. Advise witnesses of their duty of confidentiality.
    • An investigation report should be drawn up which sets out a summary of the evidence, including any inconsistencies. This report should not draw any conclusions, that is the role of the disciplinary panel. Although the investigator may have the remit to recommend whether the matter should proceed to a disciplinary hearing or not.
  • Employers should try not to rely on evidence from only one person/witness but look for other corroborative evidence if this is possible.
  • If there is an investigatory meeting this should not by itself result in any disciplinary action. Although there is no statutory right for an employee to be accompanied at a formal investigatory meeting, such a right may be allowed under an employer’s own procedure.
  • In cases where a period of suspension with pay is considered necessary, this period should be as brief as possible, the reason for the suspension should be explained and the period should be kept under review and it should be made clear that this suspension is not considered a disciplinary action. Suspension should not be without pay unless there is a contractual right to do this.

In 2015 the High Court confirmed that suspension is a very serious measure that can have serious future consequences for the employee in terms of his/her reputation, so it will normally only be justified where it:

  • prevents the repetition of the action/conduct that is under investigation
  • prevents interference with evidence
  • protects any other people at risk from such conduct
  • protects the business reputation of the employer where other parties doing business with the employer knows about the conduct.

The High Court were not happy that the employer may be ‘sending a message’ to other employees that this type of conduct would not be tolerated.

And informs the employee of the problem

  • If it is decided that there is a disciplinary case to answer, the employee should be notified of this in writing. This notification should contain sufficient information about the alleged misconduct or poor performance and its possible consequences (i.e. the outcome, any disciplinary sanction) to enable the employee to prepare to answer the case at a disciplinary meeting. It would normally be appropriate to provide copies of any written evidence, which may include any witness statements, with the notification.
  • It should not be a surprise to the Employee later on that dismissal is a possibility.
  • The notification should also give details of the time and venue for the disciplinary meeting and advise the employee of their right to be accompanied at the meeting.
The employer holds a meeting with the employee to discuss the problem
  • The meeting should be held without unreasonable delay whilst allowing the employee reasonable time to prepare their case.
  • Employers and employees (and their companions) should make every effort to attend the meeting. It can be common for employees to go off sick when they are suspended or asked to attend a disciplinary hearing, although this is not advised unless it is of course genuine. An Employer does not need to delay, indefinitely, an employees disciplinary hearing because of sickness but should look at all the facts – they need to distinguish whether someone is fit to attend to attend the hearing and fit to submit a defence and understand the allegations made against them; and consider the reasons for the sickness and whether this is a short or long illness.
  • At the meeting, the employer should explain the complaint against the employee and go through the evidence that has been gathered. The employee should be allowed to set out their case and answer any allegations that have been made. The employee should also be given a reasonable opportunity to ask questions, present evidence and call relevant witnesses. They should also be given an opportunity to raise points about any information provided by witnesses. Where an employer or employee intends to call relevant witnesses they should give advance notice that they intend to do this.
  • The Employer should be consistent in what it is accusing the Employee of and disciplinary sanctions should only be imposed in respect of allegations that have been properly investigated and bought to the employee’s attention.
And allows the employee to be accompanied at the meeting
  • Workers have a statutory right to be accompanied by a companion where the disciplinary meeting could result in a formal warning being issued; or the taking of some other disciplinary action; or the confirmation of a warning or some other disciplinary action (appeal hearings).
  • The chosen companion may be a fellow worker, a trade union representative, or an official employed by a trade union. A trade union representative who is not an employed official must have been certified by their union as being competent to accompany a worker.
  • Prior to March 2015, to exercise the statutory right to be accompanied workers must make a reasonable request. What is reasonable will depend on the circumstances of each individual case. However, it would not normally be reasonable for workers to insist on being accompanied by a companion whose presence would prejudice the hearing nor would it be reasonable for a worker to ask to be accompanied by a companion from a remote geographical location if someone suitable and willing was available on site.
  • However, a 2013 Employment Appeal Tribunal case (Toal v GB Oils Ltd) ruled that employees exercising the statutory right to be accompanied at a disciplinary or grievance hearing are entitled to have present whomever they choose, provided the individual is a relevant union representative or work colleague. Employers cannot refuse a particular companion on the grounds that their presence is ‘unreasonable’ – the ‘reasonable’ requirement does not extend to the identity of the companion. This ruling contradicts the Acas Code of Practice, which ACAS updated in March 2015 and you can see here. An Employee can, therefore, be accompanied by the employee/rep of his/her choice. You can see more details of the change here.
  • The companion should be allowed to address the hearing to put and sum up the worker’s case, respond on behalf of the worker to any views expressed at the meeting and confer with the worker during the hearing. The companion does not, however, have the right to answer questions on the worker’s behalf, address the hearing if the worker does not wish it or prevent the employer from explaining their case.
The Employer decides on appropriate action
  • After the meeting decide whether or not disciplinary or any other action is justified and inform the employee accordingly in writing.
  • Where misconduct is confirmed or the employee is found to be performing unsatisfactorily it is usual to give the employee a written warning. A further act of misconduct or failure to improve performance within a set period would normally result in a final written warning.
  • If an employee’s first misconduct or unsatisfactory performance is sufficiently serious, it may be appropriate to move directly to a final written warning. This might occur where the employee’s actions have had, or are liable to have, a serious or harmful impact on the organisation.
  • A first or final written warning should set out the nature of the misconduct or poor performance and the change in behaviour or improvement in performance required (with timescale). The employee should be told how long the warning will remain current. The employee should be informed of the consequences of further misconduct, or failure to improve performance, within the set period following a final warning. For instance that it may result in dismissal or some other contractual penalty such as demotion or loss of seniority.
  • A decision to dismiss should only be taken by a manager who has the authority to do so. The employee should be informed as soon as possible of the reasons for the dismissal, the date on which the employment contract will end, the appropriate period of notice and their right of appeal.
  • Previous written warnings that are still ‘live’ may be taken account in the final decision to dismiss. A Tribunal will look to see if it was reasonable for the Employer to treat the ‘new’ misconduct together with the ‘old’ (still live) warnings together, as a sufficient reason to dismiss. On occasions expired warnings may be taken into account – See our advice about previous warnings and warnings given in ‘bad faith’ here.
  • Some acts, termed gross misconduct, are so serious in themselves or have such serious consequences that they may call for dismissal without notice for a first offence. But a fair disciplinary process should always be followed, before dismissing for gross misconduct.
  • There are no national guidelines to determine what gross misconduct is – each employer will have behaviours which they will not tolerate at work, depending on the employer and the nature of the work and type of workplace. The action must be so serious that it irrevocably destroys any trust and confidence on the employers’ part.
  • For a misconduct dismissal to be fair an Employer has to show that at the time of the dismissal it believed the employee to be guilty of misconduct and that it had reasonable grounds for believing this, having carried out “as much investigation into the matter as was reasonable in all the circumstances”. The conduct itself must be sufficiently serious.
  • Disciplinary rules should give examples of acts which the employer regards as acts of gross misconduct. These may vary according to the nature of the organisation and what it does, but might include things such as theft or fraud, physical violence, gross negligence or serious insubordination.
  • Dismissal may not always be the right penalty for gross misconduct – Tribunals require that the employer consider whether or not dismissal for that misconduct is a reasonable sanction; does it fall within a range of reasonable options available to the employer? Employers need to consider the mitigating circumstances – which are the employee’s explanation of their conduct, their length of service and previous disciplinary record, the employee’s usual conduct and behaviour, the consistency of treatment between employees and the effect of dismissal on the particular employee. Other sanctions, short of dismissal, could be a demotion, a final written warning with training and so on.
  • Where an employee is persistently unable or unwilling to attend a disciplinary meeting without good cause the employer should make a decision on the evidence available.
  • There have been several cases where the Tribunal looked at the appropriateness of using external HR Consultants during the disciplinary process where the Employer is small and does not have sufficient staff to hear the disciplinary/appeal/conduct the investigation/needs professional advice and Tribunals take the general view this is acceptable as long as it is made clear who makes the final decision to dismiss and they are made appropriately.
And provides employees with an opportunity to appeal
  • Where an employee feels that disciplinary action taken against them is wrong or unjust they should appeal against the decision. Appeals should be heard without unreasonable delay and ideally at an agreed time and place. Employees should let employers know the grounds for their appeal in writing.
  • The appeal should be dealt with impartially and wherever possible, by a manager who has not previously been involved in the case.
  • Workers have a statutory right to be accompanied at appeal hearings.
  • Employees should be informed in writing of the results of the appeal hearing as soon as possible. In the case of Salmon v Castlebeck Care in January 2015 the Employment Appeal Tribunal found that where an appeal had been successful (for the employee) this would automatically reinstate the contract of employment (so it would be as if the employee had not been dismissed).
  • If an Employer wishes to increase a disciplinary sanction on appeal, it can only do so if this is explicitly stated in the disciplinary policy and the employee must be allowed a further right of appeal.

It is also important that clear records are kept of the whole disciplinary process.

Our Advisors cannot answer employment questions via telephone. If you have a query leave a comment below or call the Acas Helpline on 0300 123 1100

If you are an Employer and need ongoing professional help with any staff/freelance issues then talk to Lesley at The HR Kiosk – a Human Resources Consultancy for small businesses – our fees are low to reflect the pressures on small businesses and you can hire us for as much time as you need.

Please note that the advice given on this website and by our Advisors is guidance only and cannot be taken as an authoritative or current interpretation of the law. It can also not be seen as specific advice for individual cases. Please also note that there are differences in legislation in Northern Ireland.

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