Understanding HR’s role in a disciplinary procedure

Conflict, misconduct, and underperformance are unfortunate realities of the workplace. When these issues arise, how you handle them defines your company culture and protects your business from legal risk.

The phrase ‘disciplinary procedure’ often summons images of conflict, legal tribunals, and broken relationships. But it doesn’t have to be that way. When handled correctly with professional HR guidance, a disciplinary procedure is simply a tool for maintaining standards, ensuring fairness, and often, getting a wayward employee back on track.

In this blog post, we explore what a disciplinary procedure entails, and the role HR plays in the process.

What is a disciplinary procedure?

A disciplinary procedure is a formal, written framework used by an employer to address concerns regarding an employee’s work. These concerns are generally related to conduct (behavioural issues) or capability (performance issues).

A disciplinary procedure is not designed to be a punishment mechanism. Instead, it is a corrective tool. The primary goal is to encourage the employee to improve. It provides a clear, step-by-step process that ensures:

• The employee understands exactly what they have done wrong or where they are failing.
• They are given a fair chance to explain their side of the story.
• They are given the opportunity and support to improve (except in cases of gross misconduct).

For the employer, this ensures that any action taken is legally compliant, fact-based, and defensible. Without a clear disciplinary procedure, an employer is wide open to claims of unfair dismissal, discrimination, or breach of contract.

The ACAS Code of Practice

The rulebook for handling these issues is the ACAS Code of Practice on Disciplinary and Grievance Procedures.

Employment Tribunals are legally required to take the Code into account when deciding relevant cases.

Why does this matter?

If an employee wins an unfair dismissal claim against you, and the tribunal finds that you unreasonably failed to follow the ACAS Code, they can increase the compensation awarded to the employee by up to 25%. Conversely, if the employee unreasonably failed to follow it, their compensation can be reduced by up to 25%.

The code dictates that:

• Issues should be raised promptly
• Investigations must be thorough, and you cannot make assumptions; it must be factual
• Employees must be informed in writing
• Employees must be offered a meeting to present their defence
• Employees have a statutory right to bring a colleague or trade union representative to the hearing
• There must be a mechanism to appeal the decision

Why someone might be disciplined

A disciplinary procedure usually stems from one of three areas:

1. Misconduct

This refers to inappropriate behaviour or breaking workplace rules. It is usually a conscious choice by the employee.

Minor misconduct may be occasional lateness, minor errors, or poor presentation. These often start with informal chats or verbal warnings.

Serious misconduct could present as persistent refusal to follow instructions, unauthorised absence, or misuse of company equipment.

2. Gross misconduct

These are acts so serious that they destroy the trust and confidence between employer and employee, making the relationship impossible to continue. Gross misconduct often leads to dismissal without notice. Examples include:

• Theft or fraud
• Physical violence or bullying
• Serious health and safety violations
• Gross negligence

3. Capability (performance)

Sometimes, an employee tries hard but simply cannot do the job to the required standard. This is a capability issue. While this can eventually lead to dismissal, the process is different. The employer must demonstrate they provided adequate training, support, and reasonable time for the employee to improve.

What should an employer expect in a disciplinary procedure?

If you are a business owner or manager about to embark on this process, a disciplinary procedure can be time-consuming and emotionally demanding.

The investigation phase involves gathering emails, CCTV footage, or witness statements. If you are a small business owner, you may need to appoint an external investigator to ensure neutrality.

After the investigation phase, a formal meeting needs to be arranged. You must write to the employee giving them appropriate notice (usually at least 48 hours). During the meeting, you should expect the employee to be defensive or upset. Your role is to remain calm, stick to the facts, and listen. You should not make a decision in the room. You must adjourn, reflect on what was said, and issue a decision later in writing.

Every conversation, every letter, and every piece of evidence must be documented. If it isn’t written down, in the eyes of a tribunal, it didn’t happen.

The role of HR

1. Procedural compliance

HR ensures the letters contain the correct legal wording, that the timeframes are adhered to, and that the investigation was unbiased.

2. Neutrality

During a hearing, emotions run high, and it is HR’s job to remain neutral. We ensure the manager doesn’t ask leading or aggressive questions. We ensure the employee is treated with dignity.

3. Notetaking and evidence

HR usually acts as the official note-taker. A verbatim account of the meeting is the most important document you will have if the employee appeals.

4. Consistency check

Inconsistency is a guaranteed way to lose a tribunal case. If Manager A wants to fire someone for lateness, but Manager B only gave a verbal warning for the same offence last month, HR will flag this.

HR does not interfere with the facts, and it is the business owner or manager who ultimately makes the final decision.

The benefits of outsourcing HR

For small to medium-sized businesses, managing a disciplinary procedure internally can be tricky. You may not have a dedicated HR manager, or your managers may be too close to the team to be objective.

Outsourcing HR can provide:

• Objectivity as we have no history with the employee and we are only looking at the facts.
• Cost-effectiveness due to only paying for HR expertise when you need it.
• Risk mitigation through outsourced knowledge of the latest legislation, which ensures the process is compliant.

We’re here to help

Whether you run a construction firm, a digital agency, a care home, or a retail outlet, the principles of fair employment remain the same. At Sapphire HR, we have experience across a vast spectrum of industries. We provide commercially aware advice that balances legal risk with the need to operate efficiently.

We offer guidance and don’t dictate the outcome. Ultimately, we’re on hand to empower you to manage your team, providing the expertise, impartiality, and confidence.

Disciplinary procedures are difficult, but they don’t have to be dangerous. With a member of Sapphire HR by your side, you can navigate them with fairness and security. Get in touch today for more information on how we can support you through a disciplinary procedure.