Disciplinary Processes
Get in touch today
Managing a disciplinary issue can be complex and sensitive, with potentially serious personal, legal and reputational implications for both the individual whose behaviour is under scrutiny and their employer. Other employees can also be affected.
At Bellevue Law, we advise on disciplinary processes of all kinds, helping managers and HR teams approach these situations with clarity and care and providing legally sound, practical guidance that supports fair outcomes and reduces risk.
Clear guidance at every stage of the process
Employers are required to have a written disciplinary procedure. It is important to review and update this regularly, and then to refer to it during any disciplinary proceedings. Please let us know if you would like us to prepare or review a disciplinary procedure for your organisation.
Usually, the procedure will encourage informal resolution where appropriate, for example in cases of minor misconduct. Handling such matters informally can often result in a swift, proportionate and practical resolution, allowing lessons to be learned and all involved to move forwards.
Where a more formal process is appropriate – for example in more serious cases or where poor behaviour is repeated – we provide clients with structured support at every stage, from initial investigation through any disciplinary hearing to appeal, helping you to manage proceedings lawfully, reasonably and proportionately.
Get in touch today
Understanding the nature of the concern
It is important to investigate the nature of the concern raised about an employee before commencing disciplinary action. A well-managed investigation will help to ensure that all relevant circumstances are taken into account. These might include understanding:
– whether the allegations are genuinely disciplinary in nature or should be more appropriately framed as capability issues arising from performance challenges;
– whether there may be contributing factors inside the workplace – such as management failings or a communication breakdown; – or
– whether external circumstances have played a role, – or externally, such as e.g. health challenges or personal difficulties.
Our team has extensive experience of investigation processes and can advise you on how to conduct a swift, reasonable and proportionate investigation, ensuring fairness for the individual while also protecting the organisation with a disciplinary process that is fact-based, clear, robust and defensible.
Managing the process
We advise employers on key steps they can take to ensure the fairness of any disciplinary process from the outset. These include considering who will perform different roles, from the initial investigation to any disciplinary hearing and any appeal, and avoiding involving those potentially responsible for later stages in the earlier parts of the process where possible.
In small organisations, and/or where allegations are made against senior management or are extremely serious, it may be appropriate to bring in external investigators and/or hearing managers to ensure the process is conducted – and seen to be conducted – with independence and fairness; we can support you in appointing suitable people to perform these roles.
Balancing challenging elements
Disciplinary processes often involve difficult and sensitive decisions. These might include, for example, whether to suspend the employee facing allegations, whether to pause the process in response to a grievance or medical concern, and how to manage internal communications. Investigations can bring to light new concerns, about the employee under investigation and/or others. Some cases may also have implications beyond the employment relationship, including regulatory or criminal exposure, safeguarding obligations or reputational considerations.
We can draw on our extensive experience, and work alongside other advisers wherenappropriate, to advise you on handling these challenging and often competing issues appropriately.
Navigating ill health
If the employee undergoing the process has any health concerns, it will be important to take these into account, and to consider whether they may satisfy the legal test to qualify as disabled under the Equality Act 2010. This is important both because any health issues or disability may be relevant to the behaviour under review, and because, if the employee is disabled, you may be obliged to make reasonable adjustments to the process to mitigate any disadvantage arising from any disability. This will ensure legal compliance and fairness for the employee, as well as reducing the risk of a disability discrimination claim.
Likewise, employers have a duty of care to all employees, and should be mindful of the impact of the process itself on the individuals involved, including the employee who is the subject of the disciplinary procedure, colleagues who may have raised concerns, and those responsible for managing the process. It is important to ensure that all concerned are suitably supported – and to remember that suitable support may look different for different people. A ‘one size fits all’ approach is not a good idea and can increase legal risk.
However, employers should not feel that employees experiencing health concerns – including mental health challenges – cannot be disciplined. On the contrary, it can sometimes be better (although undoubtedly difficult) for the employee’s mental health to face the disciplinary process with appropriate support than to have it hanging over them unresolved for a lengthy period.
This is a challenging area and we are experienced in helping employers balance care for employees’ wellbeing with the need to take appropriate action and prioritise business requirements.
Negotiating exits in the disciplinary context
In some cases, it may be appropriate to consider a negotiated exit, with a view to resolving matters swiftly and sparing both parties from a potentially lengthy and challenging process. Whether this is proposed by the employee or employer, we can support you to navigate these sensitive and potentially legally risky discussions appropriately.
Expert advice, tailored to your organisation
Bellevue Law supports employers of all sizes in handling disciplinary procedures lawfully and with care. Some matters are relatively straightforward and can be resolved quickly. Others are more involved and may need to be managed over several weeks or months. In every case, our advice is grounded in the specific circumstances, shaped by your organisation’s needs and culture, and focused on helping you reach a fair and compliant outcome.
If you would like our support with a disciplinary issue, please get in touch.
Our Workplace Law Team
