Nobody goes into business thinking "I can't wait to manage a disciplinary process." But here you are.
Maybe someone's been late every day for a month and you've been avoiding the conversation. Maybe performance has been slipping and you've tried the informal route and it's not working. Maybe something serious has happened and you genuinely don't know what you're allowed to do.
You're not alone. Disciplinaroes are one of the most common things we help SME owners with - and the one people get wrong most often. Not because business owners don't care, but because nobody ever taught them how to do this properly.
Here's what you need to know.
WHAT IS A DISCIPLINARY PROCESS?
A disciplinary process is the formal procedure you follow when an employee's conduct or performance falls below the standard you need. It's not a way to get rid of someone you don't like. It's a structured, fair process that gives the employee a chance to understand the issue and improve.
The ACAS Code of Pratice sets our the minimum standard employers should follow. Getting this right protects you. Getting it wrong - even with good intentions - can end up in an employment tribunal.
WHEN SHOULD YOU USE A DISCIPLINARY PROCESS?
There are two main reasons to start a disciplinary:
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Conduct: behaviour that's unacceptable. Persistent lateness, attitude, dishonesty, serious misconduct.
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Performance: when someone consistently isn't doing the job to the standard you need, and informal support hasn't worked.
The distinction matters because the process looks slightly different for each. Performance issues generally require more support and a longer timescale. Conduct issues can move faster - and in cases of gross misconduct, can result in dismissal without notice (not instant dismissal though).
WHAT DOES THE DISCIPLINARY PROCESS LOOK LIKE?
For most situations, the process follows these steps:
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Investigation: gather the facts before you do anything else. Speak to the relevant people, review any evidence and document what you find. Don't forget to inform the employee when a formal investigation is taking place.
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Invite to a formal meeting: in writing, clearly stating the allegation and their right to bring a companion.
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Disciplinary hearing: give the employee the chance to respond. Listen. Don't go in with your mind made up.
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Decision: No action, first written warning, final written warning or dismissal depending on the severity and the history.
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Right of appeal: always give employees the right to appeal the outcome.
Every step needs to be documented. If it's not written down, it didn't happen - at least not in the eyes of a tribunal.
WHAT IS GROSS MISCONDUCT?
Gross misconduct covers behaviour so serious that it fundamentally breaks the employment relationship. Examples include theft, violence, harassment, serious health and safety breaches, or being under the influence of drugs or alcohol at work.
In cases of genuine gross misconduct, you can dismiss without notice - but you still need to follow the procedural steps first. Skipping the process is one of the most common - and costly - mistake employers make.
CAN YOU DISMISS SOMEONE WITHOUT FOLLOWING A PROCESS?
The short answer is: almost never. Even if an employee has done something seriously wrong, dismissing them without following a fair procedure leaves you exposed. A tribunal will look at whether the decision was reasonable AND whether the process was followed. Fail on process alone and you can still lose.
The only exception is employees in their first two years of employment, who don't have full unfair dismissal rights (until July 2026). But discrimination claims and whistleblowing claims can still arise from day one - so don't let that make you complacent.
COMMON MISTAKES
These are the mistakes we see most often. None of them mean you're a bad employer. They just mean nobody told you the rules.
Having the disciplinary conversation before the formal process starts
Telling someone "this is going to be a disciplinary" in the corridor or having an informal chat that sounds very formal - and then trying to start the process properly - creates a procedural mess. Keep informal and formal completely seperate.
Not investigating first
It's tempting to go straight to a meeting when something's gone wrong. Don't. An investigation, even a brief one, is what makes your process defensible. You need to establish the facts before you can make a fair decision.
Forgetting about the right to be accompanied
Every employee has the right to bring a trade union representative or a colleague to a formal disciplinary hearing. Not telling them this - or refusing the request - is an automatic procedural failing.
Deciding the outcome before the hearing
The hearing isn't a formality. If you've already made up your mind before the employee walks in, and they can show that, your dismissal is procedurally unfair. Go in genuinely open to what they have to say.
WHEN TO GET HELP
Some disciplinary situations are straighforward. Others aren't.
Get proper HR support if:
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The situation involves a protected characteristic: disability, pregnancy, religion, age or anything else covered by the Equality Act.
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The employee has raised a grievance at the same time as, or in response to, the disciplinary.
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You're considering dismissal and the employee has two or more years of service (up to July 2026).
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You've already had a conversation and it's escalated unexpectedly.
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You're not sure whether the behaviour counts as gross misconduct.
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Your gut is telling you something could go wrong.
Getting the process right from the start costs a fraction of what getting it wrong costs later. We've supported hundreds of SME owners through disciplinaries, from the straightforward to the seriously complicated. We'll tell you exactly what to do, and we'll be there when you need us.
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