ACAS checklist for handling a disciplinary matter (document)

This checklist sets out the key steps that all employers should consider when handling disciplinary matters:

• Gather all the relevant facts promptly, before memories fade. Take statements and collect documents. In serious cases consider suspension with pay for a short period while an investigation is conducted.
• Be clear about the complaint: Is action necessary at this stage?
• If so, decide whether the action might be advice and counselling or formal disciplinary action, following the organisation's procedures
• If formal action is possible, arrange a disciplinary hearing: ensure the individual is aware of the nature of the complaint, and that the hearing is a disciplinary one. Tell the individual where and when the hearing will take place, and of their right to be accompanied. Try and arrange for a second member of management to be present (although not someone who might be involved in the appeals procedure) to take notes and act as a witness to the proceedings.
• Start by introducing those present and the purpose of the hearing, the nature of the complaint and the supporting evidence.
• Allow the individual to state his/her case (the accompanying person may also put questions and confer privately with the individual, but not answer on their behalf): consider and question any explanations put forward. Representation rights under a collective agreement with a trade union may allow for greater intervention from the representative - check prior to the disciplinary meeting.
• If any new facts emerge decide whether further investigation is necessary and if so adjourn the meeting and reconvene when the investigation is complete
• Except in straightforward cases, call an adjournment before making a decision: come to a clear view about the facts. If the facts are disputed decide on the balance of probability which are most likely to be true.
• Before deciding any disciplinary penalty consider the seriousness of the offence, and whether the procedure gives guidance, the penalty imposed in similar cases in the past, the individual's disciplinary record and general service, any mitigating circumstances and whether the proposed penalty is reasonable in all the circumstances.
• Reconvene the disciplinary hearing to clearly inform the individual of the decision and the penalty, if any. Explain the right of appeal and how it operates and in the case of a warning, explain what improvement is expected, how long the warning will last and what the consequences will be if there is no improvement.
• Record the action taken: confirm the disciplinary action to the individual in writing, keep a simple record of the action taken for future reference and ask the employee to acknowledge receipt of notification of any disciplinary penalty
• Monitor the individual's performance: disciplinary action should be followed up with the object of encouraging improvement and progress should be monitored regularly and discussed with the individual.

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