Grievance outcome letter

Use this grievance outcome letter to notify the staff member who raised the grievance of whether you have upheld it or not. The letter is a fundamental part of your formal grievance process. It is important that you properly notify your staff member in writing so that you have a proper record of the outcome. Fill out the simple questionnaire to generate a legally complaint notification of what you have done to investigate, your decision on the grievance and the reasons for it. You can also purchase this letter as part of the Grievance toolkit .
£20 + VAT

Dismissal letter

This dismissal letter is your formal notification to a member of staff that they are dismissed. It includes options for you to select the reasons for the dismissal as either gross misconduct, misconduct, issues with capability or ill-health. It is usually important to be clear about your reasons for firing someone and this template letter will help ensure that you give a proper explanation for your decision. The letter of dismissal also covers the practicalities following on from the dismissal, including what happens with annual leave, final salary payments and any company property. It should help make sure that everything runs smoothly in what can potentially be a difficult and disruptive process, both for the staff member who is leaving and those within your business who are dealing with the dismissal. You can also get this letter as part of the Disciplinary toolkit .
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Grievances and disciplinary procedure
Handling grievances
Q1:What counts as a grievance?

A is any concern, problem or complaint raised by a member of your .

will vary in severity from minor complaints to serious allegations and may involve anything from issues with working conditions to problems with colleagues, management, clients or customers.


Q2:What should I do if a staff member raises a grievance?

You should treat all promptly and seriously, and must always try to achieve a . If you do not, aside from potentially damaging relations in your workforce, you run the risk of the aggrieved member bringing a legal claim against you.

As a first step, you must assess whether the matter can be handled informally or whether a formal process is necessary. In most cases, brought by non- should be dealt with informally; see Q&A 3 for more information.

For , many can be resolved informally, where the matter is minor; see Q&A 4 for further information about steps to take. A more formal process can be necessary if the complaint involves a serious issue such as or , or the does not feel that an informal process can adequately resolve their concerns; see Q&A 5 for further information about steps to take.


Q3:How should I handle grievances brought by non-employees?

Note that there is no legal requirement to follow a formal procedure in relation to who are not (including , and self-employed ). You may need to do so in very serious situations (eg where an allegation of has been made). However, bear in mind that the extent of your control over the individual (including subjecting them to your process) can be a that is relevant to their employment status. It is therefore generally appropriate to deal with ' informally; see Q&A 4 for more information about the process.

If you do need to follow a formal process, bear in mind that (like ) have the right to be accompanied at a meeting by a fellow member or trade union representative; see Q&A 23 for more information.

Note that you are legally required to provide with information about how they can make a , and our template Contract - casual worker contains appropriate wording to cover an informal process.


Q4:How do I deal with a grievance informally?

Dealing with a informally will simply involve the member's line manager discussing their concerns with them with the intention of coming to a mutually acceptable . If you need to involve others in any solution, make sure that the member raising the is happy for you to talk informally to other about it. If you have an open and supportive working culture, you are more likely to be able to resolve this way and prevent them escalating.

It is good practice to record what you agree with the member of in writing (email is fine). You should also make a note of any conversations you have about the issue or follow up action you take to deal with it. Always bear in mind your obligations when keeping records about , particularly if they include sensitive personal details; see Records and staff data for further information about this.


Q5:How do I carry out a formal grievance process?

When carrying out a formal process, it is vital that you follow your procedure, which you are legally required to communicate to your (see HR policies for information about setting an appropriate procedure and Staff handbook and policies for a template you can use).

Your process should involve the following steps:

  1. Ask for the to be detailed in writing

    Your procedure should set out who the member should submit their to (usually their line manager). That individual should ask them to set out their in writing, if they have not done this already.

  2. Appoint a person to deal with the

    If the line manager will not be dealing with the themselves, another appropriate person must be appointed to investigate the ; see Q&A 6.

  3. Hold an initial meeting to discuss the

    Usually, a meeting with the appointed investigator and the member of who has raised the should be arranged promptly (within five working days if possible); see Q&A 12 and following.

  4. Conduct any necessary investigations to establish the facts

    Unless the matter is very simple, it may be appropriate to adjourn the meeting to carry out an investigation into the facts and reconvene it afterwards; see Q&A 17.

  5. Hold a meeting to discuss the findings of the investigation

    If you have carried out an investigation, you should hold a follow up meeting to discuss the outcome and next steps; see Q&A 13 and following.

  6. Decide whether the is upheld or not, make a decision on what (if any) action to take and inform the member

    Following the meeting, you must inform the member of the outcome of their in writing as soon as possible; see Q&A 15.

  7. Deal with any appeal against your decision

    If the member appeals, the appeal should be dealt with promptly and the process should be handled by someone who was not involved in the initial handling of the , if possible; see Q&A 26 and following.

For a how-to guide along with all the relevant documents you need to formally handle a , you can use Grievance toolkit.


Q6:Who should handle a grievance process?

As a general rule, you must ensure that the person who handles a process is independent, impartial and sufficiently senior to be able to deal with it. The member's line manager is often the most appropriate person, but if the complaint is about them then another manager should step in, if possible.

You should ensure that any managers whose responsibility it is to handle are familiar with your process and know how to run a meeting (see Q&A 14) and investigate a properly (see Q&A 17). It is a good idea to offer them some training about this .

Note that if a member of appeals a outcome, the appeal process should be handled by a person who was not involved in the initial handling of the , where possible; see Q&A 26 for further information about this.


Q7:Can a manager handle a grievance about themselves, if there is no one else to do so?

In a very small business it may be that a manager will have no alternative but to deal with any that involve them personally. However, you should bear in mind that if circumstances make the manager appear biased or the member raising the thinks they are biased, it could result in the member claiming that you did not follow a fair process and potentially bringing legal action against the business.

You should therefore commit to handling all fairly and objectively. In some cases using an independent may be appropriate, for example if the is about conflict between members; see Q&A 21 for further information about this.


Q8:How do I respond to a request for information from a staff member who raises a grievance?

Your obligations depend on the type of request:

  1. the member requests information about themself (see Q&A 9);

  2. the member requests confidential information about your business or information about someone else (see Q&A 10); or

  3. the information which has been requested does not contain personal information about anybody and is not confidential information (see Q&A 11).


Q9:How do I deal with a staff member's request for personal information about them (a subject access request) during a grievance process?

You have a legal obligation to provide individuals with access to and details of the personal information you hold about them, if they request it (this is known as a ). The request need not be made in a specific form or with any specific wording. It may even appear to be something else at first glance, such as a general inquiry into how the investigation is proceeding. The says that regardless of the wording of the request, if it is for access to the requester's you must treat it as a .

There are a few limited exceptions which allow you to hold back some types of personal information, including exemptions for information relating to confidential management planning and information that may prejudice any negotiations with the individual making the request. For an explanation of how to deal with a , including what information you can hold back and how to provide the information see Subject access requests and Checklist for responding to a subject access request.


Q10:How do I deal with a staff member's request for confidential information about other staff or my business during a grievance process?

Find out why the member wants the information, as it may be that you can provide what they want in a less specific form. For example, if an asks to see all of the sales figures for all because they feel they were underpaid a bonus you could instead provide them the average or highest and lowest figures in anonymised form. Alternatively, if the information is commercially sensitive and you do not want the member to have a copy, if you are comfortable with doing so, you could simply allow the to see the information at the meeting, rather than taking a copy away. In any case, if you do not provide the information the member has requested you should explain why.

Often the information requested will also contain personal information about another individual, eg emails will include the names of recipient(s) and sender. In this case redacting or amending a document is often the most appropriate way to avoid disclosing confidential information or , whilst ensuring you meet your own obligations to the individual making the request. See Subject access requests for other less common methods of dealing with this issue.


Q11:How do I deal with a staff member's request for information that is not personal or confidential during a grievance process?

You should ordinarily provide such information to the member, unless you have a good reason not to.

Not doing so may lead the member to believe that you have something to hide, which could make them more likely to bring an claim against you eg if they resign as a result of dissatisfaction with your handling of their and claim unfair . If is alleged, the Tribunal can look at whether or not you have replied to questions the member asked as part of an overall assessment of your behaviour.


Q12:How do I arrange an initial grievance meeting?

Your first meeting should take place as soon as possible after the member of has raised their , ideally within five working days.

If the member is an or , they have the right to be accompanied at the meeting by a fellow member or trade union representative (see Q&A 23 for further information about this person's role); you should inform them about this right in your invitation.

For a template letter invitation, see Invitation to an initial grievance meeting. You can also find this letter as part of the Grievance toolkit which contains a how-to guide and all the relevant documents you need to formally handle a .

Note that there are special considerations if the member is ; see Q&A 16 for information.

See Q&A 14 for how to run the meeting.


Q13:How do I arrange a follow up grievance meeting?

You should ensure you arrange your meeting promptly eg shortly after the conclusion of your investigations.

If the member is an or , they have the right to be accompanied at the meeting by a fellow member or trade union representative (see Q&A 23 for further information about this person's role); you should inform them about this right in your invitation.

For a template letter invitation, see Invitation to a grievance meeting following investigation. You can also find this letter as part of the Grievance toolkit which contains a how-to guide and all the relevant documents you need to formally handle a .

Note that there are special considerations if the member is ; see Q&A 16 for information.

See Q&A 14 for how to run the meeting.


Q14:How do I run a grievance meeting?

The meeting should be run in accordance with your procedure (see Staff handbook and policies for a template you can use) and chaired by the person who has been appointed to investigate the (see Q&A 6 for information about who should be appointed). Ideally, you will have somebody else present who is uninvolved with the issues and can take a note of the meeting; somebody in your HR team, if you have one, is most common.

At the meeting, as far as possible, recommends that you proceed as follows:

  1. introduce everyone present and explain their roles;

  2. explain the purpose of the meeting and how it will be conducted;

  3. ask the member of to explain their for the benefit of the meeting and what they would like done to resolve it;

  4. ensure any evidence that is being used in support of the is clear; it may well be appropriate to adjourn the meeting whilst investigations into the matter are carried out, such as speaking to other involved (see Q&A 17 for information about carrying out an investigation as part of the process);

  5. summarise the main points of discussion; and

  6. tell the member of when they can expect a response (see Q&A 15).

It is good practice to keep a written record of the meeting in case there is ever a debate about what was said, and to provide the member with a copy of this. Given the sensitivity of these reports, you must ensure that these records are kept securely and that only those who need them have access. See Records and staff data for more information on how you must deal with these and other records in order to comply with law (including what to do if the records contain personal information about other individuals).


Q15:How do I inform a staff member about the outcome of a grievance meeting?

Even if you resolve matters satisfactorily during the meeting, you should write to the member of afterwards to confirm your findings and the result so that there is a proper record of the outcome.

You should include information about the steps that were taken to investigate their , the decisions that have been made, the reasons for those decisions and the fact that they have the right to appeal if they are dissatisfied with the outcome (see Q&A 26 and following for guidance on appeals).

For a template letter you can use, see Grievance outcome letter. You can also find this letter as part of the Grievance toolkit which contains a how-to guide and all the relevant documents you need to formally handle a .


Q16:What arrangements do I need to consider making for a grievance meeting if my staff member is disabled?

You are required by law to make reasonable adjustments for members if there is a risk that they would otherwise be put at a disadvantage in relation to their ability to participate in the process. This could include holding the meeting at a location which a physically member is able to get to or allowing a member with a learning to bring a friend to the meeting (as well as the trade union representative or colleague who you are legally obliged to allow in attendance; see Q&A 23) to assist them and conducting it in a way that does not disadvantage them. If you do not make reasonable adjustments where possible, then you risk discriminating against the member based on their .

See List of common disabilities for conditions that commonly count as disabilities.


Q17:How do I investigate a grievance?

Depending on the nature of the , it may not always be necessary to carry out a full investigation into the matter; for example, if the relates to a known working practice.

However, many will need to be investigated, especially where they involve an issue with another member of . Bear in mind that failure to carry out a formal investigation may, in some circumstances, amount to (eg if you failed to follow your normal policy in relation to a raised by a female when you carried out a proper investigation into a similar raised by a male ). See Staff handbook and policies for a template policy you can use.

There is no set way to investigate a , but there are points to bear in mind in relation to:

  1. timing (see Q&A 18);

  2. who should conduct the investigation (see Q&A 19); and

  3. how to handle other members who are involved in the investigation (see Q&A 20).


Q18:Should I carry out an investigation into a grievance before or after the grievance meeting?

Depending on what the relates to and how much information the member has given you about it, it may be appropriate to carry out an investigation into the matter before the meeting takes place; alternatively, it may be better to do so afterwards or to adjourn and reconvene the meeting to allow for an investigation to take place following initial representations by the member. See Q&A 14 for further information about how to run a meeting.

If the necessitates a lengthy investigation and delays the outcome for longer than expected (eg for longer than is set out in your policy), you should ensure that you keep the member of bringing the informed of progress.


Q19:Who should carry out an investigation into a grievance?

The investigation should usually be run by the person who has been appointed to handle the (see Q&A 6 for information about who should be appointed). The investigator must look at the matter impartially, taking into account any particular points the member wants to be investigated and carrying out interviews as necessary. They can use their discretion in deciding on the scope of the investigation and they may limit the lines of enquiry pursued as they see fit.

If the is particularly complex or serious, it may be appropriate to appoint a separate person to carry out the investigation and report back to the decision maker. For example, you may consider using a law firm to conduct the investigation if there is a serious allegation involving senior management or a significant complaint (see Q&A 30 for further information about this). If you appoint a separate investigator, they should produce an investigation report for the decision maker including an explanation of their investigation, a summary of the evidence gathered and their conclusions and recommendations to take the matter forward.

Note that it is good practice to have a separate policy to work alongside your general procedure; see Q&A 29 for further guidance about and Staff handbook and policies for a template policy you can use.


Q20:How much information should I share with staff members who are involved in a grievance investigation?

If you need to information about the investigation with another member at any time, you must ensure that you comply with your obligations, and only go so far as is absolutely necessary for the purposes of the investigation. For more information see Sharing staff data.

It is good practice to keep records of the meetings and statements which form part of the investigation. members who are interviewed should be asked to sign the note of any meeting with them or should be asked to verify that any written account is correct by email (see Q&A 8 for what to do if the person who raised the requests copies of these records).


Q21:When will it be appropriate to use mediation as part of a grievance process?

is simply a process by which an independent helps two parties in dispute resolve their differences. It is not compulsory at any stage in proceedings (unless you have specifically stated that it will be used in certain circumstances in your procedure) and it will not be appropriate in every situation.

Most obviously, can be a useful way of addressing relating to workplace relations, eg resolving matters where there have been personal conflicts. It is likely to be less useful where a relates to matters like organisational change (eg if a member complains about a reduced amount of overtime) because often these are permanent measures in the workplace which cannot be solved by way of personal reconciliation. will not be appropriate in circumstances where an is alleging that their statutory employment rights have been (eg their right to equal pay). In such circumstances, as a complaint could be made to an , you could consider using free service instead (see Resolving legal disputes with staff for further guidance).

is an entirely voluntary process, so the parties to the will need to agree to it first; it is likely only to be effective if both the business and the member come to it with an open mind and willingness to compromise.


Q22:Who can act as a mediator in a grievance process?

Whilst it is possible to train certain as mediators, for most small businesses it will be more practical to use an external . You can use various external organisations to help find one; for example, ACAS, the Ministry of Justice search engine or CEDR. The cost of a will vary depending on the length and complexity of the matter, but a small dispute should not cost more than a few hundred pounds.


Q23:What role can my staff member's companion play in the grievance meeting?

If the member is an or , they have the right to be accompanied at the meeting by a fellow member or trade union representative.

During the meeting, the member's companion (if they have one) is allowed to confer with them and explain or sum up the issues on their behalf, or respond on their behalf to views expressed at the meeting. However, they cannot directly answer questions on their behalf or otherwise address the meeting if the member of indicates that they do not want them to, or prevent you from explaining your position.


Q24:Who can my staff member choose to accompany them at a grievance meeting?

It is up to the member of which colleague or trade union representative they choose to accompany them, and they may not want a companion at all (they do not have to bring one). If their chosen companion is unable to make the meeting at the time you have proposed, the member of may propose a reasonable alternative time within five working days of the day originally proposed and you must postpone the meeting to then. Note that if the companion is a fellow member, you must allow them paid time off during working hours to attend the meeting.


Q25:Can I make a digital recording of a grievance meeting conducted remotely?

As a general rule, no. You can only record meetings conducted remotely (eg by video conference) if it is necessary to do so and you have a clear purpose, and as part of this you will need to consider less intrusive alternatives. In most cases, keeping contemporaneous notes and/or having an independent present is likely to be more appropriate. For further guidance, see Recording staff telephone conversations and meetings.


Q26:Do I have to give my staff member the opportunity to appeal my grievance decision?

Yes; their right to do so should be set out in your policy and the letter you send them setting out the outcome of the ; see Grievance outcome letter for a suitable template letter and Staff handbook and policies for a template policy.


Q27:Who should handle a staff member's grievance appeal?

If possible, the person who handles the appeal should be different to the person who ran the original process, although in smaller businesses it may not be possible for the person hearing the appeal to be totally removed from the initial procedure.


Q28:How do I run a grievance appeal process?

You should ask the member to let you know the grounds of their appeal in writing. If new evidence has come to light, this must be considered.

You should hold a meeting to hear the appeal promptly, and notify the member of in advance as to the details of it. For a template letter, see Invitation to grievance appeal hearing. You can also find this letter as part of the Grievance toolkit which contains a how-to guide and all the relevant documents you need to formally handle a .

The appeal meeting should be run in a similar way to the initial meeting; as before, if the member of is an or they have the right to be accompanied at the meeting by a fellow member or trade union representative of their choosing. For information about how to run a appeal meeting, see Q&A 14.

You should inform the member of the outcome of the appeal meeting as soon as possible and in line with your procedure. You should also explain that this decision is final and there is no further right of appeal. For a template letter, see Grievance appeal outcome letter. You can also find this letter as part of the Grievance toolkit which contains a how-to guide and all the relevant documents you need to formally handle a .


Specific types of grievance
Q29:What is a whistleblowing complaint?

is a complaint that there has been a serious failure in your business, which the complainant reasonably thinks is in the public interest to .

The following types of complaint are complaints:

  1. the commission or likely commission or a crime;

  2. the or likely of any legal obligation;

  3. danger to anyone's health and safety;

  4. damage to the environment;

  5. a miscarriage of justice; or

  6. deliberately hiding information about any of these matters.

The member does not have to make the complaint in any particular form, (eg it can be verbal, written or even a video recording ) so long as it conveys facts rather than allegations or opinions and is more than just a throwaway comment or something discussed in confidence. The complaint may relate to a failure on your part or on the part of another member of , client or anyone else.


Q30:What do I do if someone makes a whistleblowing complaint?

To deal properly with whistleblowers, you should:

  1. Establish whether a complaint amounts to or not

    Only specific types of complaints are classed as ; see Q&A 29 for information about what these are.

  2. Follow a proper procedure to deal with the

    See Q&A 31 for information about the procedure you should follow.

    Bear in mind that the member concerned can potentially blow the whistle to an outside body as well as (or instead of) complaining internally. If a member is dissatisfied with your response to their , they are much more likely to do this than if they think it has been handled properly internally.

  3. Take care not to subject the to any disadvantage as a result of their complaint

    If you dismiss an solely or mainly because they made a complaint, you could face a claim for . You could also face a legal claim if a member suffers some sort of disadvantage because they have made a complaint. See Q&A 32 for further information.

For a template policy you can use, see Staff handbook and policies.


Q31:What procedure do I need to follow to deal with a whistleblowing complaint?

Although it is not a legal requirement, the government recommends that you have a policy in place and bring this to the attention of your . See Staff handbook and policies for a template policy. If you have such a policy you should follow it.

It is important to deal with complaints promptly. You can use the formal procedure at Q&A 5 and following, taking particular care to:

  1. avoid the suggestion that the issue is to be dealt with to the 's satisfaction (unlike with personal ) – it is for you to be sure that the matter has been dealt with properly;

  2. provide support to the throughout (eg mentoring or advice) as it can be a stressful experience; reassure them that their complaint will not affect their position at work;

  3. keep the up to date as to what action has been taken and whether/when they will hear back;

  4. protect the 's identity if they wish to remain confidential, unless you are legally required to disclose it; and

  5. keep relevant records about the complaints you receive including records of the feedback you gave to whistleblowers (see Records and staff data for information about things to be aware of when keeping records).


Q32:Can I fire a whistleblower or change their job?

If you dismiss an solely or mainly because they made a complaint, you could face a claim for . You could also face a legal claim if a member suffers some sort of disadvantage because they have made a complaint. Everything will depend on the circumstances but examples of detriment could include disciplining a , moving them to a different or inferior role, not giving them work or telling their colleagues that they were the complainant eg if they raised an issue that led to some unpopular changes in the workplace.


Q33:How do I deal with a complaint about bullying or harassment by another member of staff?

If a member complains that they have been bullied or harassed by another member of , you should take the matter very seriously and respond promptly. You can be held responsible for any or bullying that takes place at work, and potentially (albeit rarely) some which takes place away from work, if it is sufficiently connected (eg at a work social—see Staff behaviour at work socials for further information).

If you do receive a complaint from a member that they have been bullied or harassed, you can use the general formal procedure laid out in Q&A 5 and following, remembering that:

  1. Bullying or can take many forms

    See Q&A 34 for examples.

  2. It can take a member a long time to make a complaint about bullying or

    The fact that the member put up with the behaviour in question for a long time without raising a complaint does not mean that they accepted it, or that you should take the situation less seriously.

  3. An informal approach can be all that is required in cases where the accused did not realise their behaviour was unwelcome

    Counselling can be of great assistance. recommends it as particularly useful in situations when the does not lead to a need for disciplinary proceedings, or if the complaint is likely not valid.

  4. Consider how to protect your member from further during your investigations

    In some circumstances, you may need to consider how you can protect your member from enduring further or bullying while you are investigating the matter. For example, if the alleged is being carried out by another member of your , it may be appropriate for you to move that individual into another team or to another location. Equally, if the in question amounts to a criminal offence, you should discuss with your member whether they would like to report the matter to the police.

  5. If you uncover a disciplinary offence, you must use your disciplinary procedure

    can often be caused by other members committing disciplinary offences. It is important not to confuse your and disciplinary processes as they are in place to achieve different objectives. See Q&A 40 and following for information about taking disciplinary action.

  6. Consider whether you can improve your systems, procedures or policies to better protect your from bullying or in future

    A about or bullying can be a red flag that your existing prevention methods are not enough. Use it as a prompt to review your processes and policies, draw them to the attention of your and ensure that they are all aware of what is and is not acceptable behaviour. It is important because, in some circumstances, you can escape legal liability for bullying or by your against a colleague provided you have taken all reasonable steps to prevent it. In any event, it is good practice to minimise bullying or in your business.

Bear in mind that you can be held responsible for committed by your unless you can show that you took reasonable steps to prevent it. It is therefore good practice to have a separate anti-bullying and policy to work alongside your general procedure; see Staff handbook and policies for a template you can use.


Q34:What counts as bullying or harassment?

Bullying or can take many forms. It can be a course of conduct or a single event. Letters, emails, pictures, video, or automatic supervision methods can all constitute (or form part of a wider pattern of ). Even conversations or behaviour not directly aimed at the member raising the can be considered if they help create a hostile environment for that person. For example, two coworkers using racial slurs when talking about another member can constitute against that member even though they are not part of the conversation, although they do have to be aware of it.

Behaviour can amount to even if it was not intended to create a hostile environment, for example when the perpetrators claim to be joking, and even if the affected person joins in or seems to participate (not uncommon where the person affected is in a junior position and is afraid of the consequences if they protest).


Q35:What is sexual harassment?

Sexual is unwanted conduct of a sexual nature which has the purpose or effect of:

  1. violating a ’s dignity; or

  2. creating an intimidating, hostile, degrading, humiliating or offensive environment for that .


Q36: Do I need to take action to prevent sexual harassment?

have a positive duty to take reasonable steps to prevent sexual of in the course of their employment. Failing to do so could incur penalties for the and enforcement action could be taken.

You should not wait until there is an incident of sexual before taking action – must anticipate potential scenarios where a may be at risk of sexual and take steps to prevent such taking place. This duty requires to take reasonable steps to prevent sexual by not only their own , but also by third parties such as clients, agents of the and customers.


Q37:What action should I take to prevent sexual harassment?

To comply with the duty, you should:

  1. undertake and take action to reduce identified risks (See our Sexual harassment risk assessment for a template you can use);

  2. produce and distribute effective policies and procedures;

  3. proactively seek to be aware of any workplace ; and

  4. deliver and victimisation training.

Some examples of reasonable steps to take include:

  1. giving opportunities to raise issues with them regularly (eg through one-to-ones or open-door policies);

  2. considering the introduction of an online or externally run telephone reporting system to allow to make complaints; and

  3. checking that where are put on secondment, the other has appropriate procedures in place to prevent sexual .

See the the 's Technical guidance on sexual and at work and Checklist and action plan for employers for further information .


Q38:What counts as a complaint about discrimination?

is a very serious allegation, and you should treat the complaint with an appropriate degree of respect and caution (see Q&A 39). It occurs when a member is treated less favourably because of a .

If the a member has suffered is direct and obvious, they are likely to complain of expressly. However, note that can also occur indirectly, if one of your business's practices or policies puts a member at a disadvantage because of any of their and you cannot justify it properly, eg a rule against hats in the workplace will against a Sikh member of , unless there is a good enough reason for it. In this type of situation, the member in question may use other language to describe the they feel they have suffered.


Q39:How do I deal with a complaint about discrimination?

You have a specific legal duty to ensure that your are not discriminated against at work, and a member who feels you are responsible for against them has the right to bring a claim for compensation against you in an . A fair and rigorously applied procedure can reduce the likelihood of these sorts of claims.

The process for dealing with a complaint about is the same as for any other ; see Q&A 5 and following for details of a formal process you can use.

When dealing with a complaint about , remember that:

  1. You may need to make reasonable adjustments to allow to participate

    See Q&A 16 for information about this.

  2. can be useful in dealing with perceived issues

    may be particularly useful when dealing with perceived issues. However, bear in mind you must use your discretion to assess whether will be appropriate on a case by case basis; advises that it will not be appropriate where the individual bringing a claim wants it investigated, or where there is clear cut and more formal procedures should be followed.

    Even if the result of your procedure is that there was no , it may help to between the members involved to clear up any misunderstanding and to ensure that they can work together effectively in the future.

  3. Monitor the outcome after the has been dealt with

    The recommends that you continue to monitor the situation after you have dealt with the , even if you did not find that there had been within your business. You must take care, both to ensure that any discriminatory behaviour that you have uncovered does not continue, and that the member who brought the complaint is not treated badly for having done so. For example, transferring them to another office or part of your organisation to deal with any fallout can be victimisation. If you find there is a need to do this, it can indicate that you have not resolved the properly.

  4. Consider whether you can improve your systems, procedures or policies to avoid in future

    A complaint about may be an indication that you need to improve your prevention measures. It is important that you have suitable policies, procedures and systems in place, and that they are understood and used properly by your . You can be held responsible for the discriminatory actions of your in the course of their work for you if you have not done everything that you reasonably can to prevent those actions. This can even include acts outside of work which are connected to their work – eg at a social event.

    For information on what policies and procedures you should have in place to ensure that you have done everything in your power to prevent , see HR policies and for a template containing key HR policies, see Staff handbook and policies.


Taking disciplinary action
Q40:How do I decide whether to treat something my staff member has done as a disciplinary issue?

Many minor behavioural and conduct issues can be resolved informally between a member of and their line manager (or other appropriate individual), in the course of the ordinary working relationship. This might be the case if, for example, the member of has suddenly started behaving in a way that was previously out of character, such as being late for work or making mistakes. A discussion between the member and their manager can help establish whether there are personal reasons for this and if so, how the business might be able to help the member resolve the issue. It is good practice to keep a written record of what you agree with the member of and a note of any conversations or follow up action you take. You should always bear in mind your obligations when keeping records about , particularly if they include sensitive personal details; see Records and staff data for further information about this.

Clearly, there are some issues which it will not be possible to resolve informally, especially if they involve serious allegations or behavioural issues. Alternatively, it may be that your attempts to resolve an issue informally have not been successful and more formal action is needed. If so, you will need to treat the matter as a disciplinary issue and follow a formal process; see Q&A 42 for further information about this and Staff handbook and policies for a template disciplinary policy.


Q41:Should I use a formal disciplinary process just for my employees or for my casual workers and freelancers as well?

NOTE: Following the introduction of the Employment Rights Bill to Parliament on 10 October 2024, this area of law is being considered for reform (see our blog explaining the Bill here). Any reforms are unlikely to take effect before 2026. The Bill proposes further rights from day one of employment, including protection from (currently available only after two years of service).

It is particularly important to carry out a formal disciplinary process when dealing with and you are legally required to provide them with details of your disciplinary procedures. See Staff handbook and policies for a template disciplinary policy you can use. who have been by you for two years or more attract the highest level of protection and your disciplinary process for them must be procedurally fair. If the disciplinary process results in a dismissal and the member of is an who has been in your service for two or more years, they can claim against you if you failed to follow a fair procedure.

You are also legally required to provide with information about any disciplinary rules that apply to them, and they have a legal right to be accompanied by a co- or trade union official at any disciplinary meeting that could lead to a warning or other disciplinary action being brought against them. However, as a general rule you should avoid subjecting your to formal disciplinary procedures, as the extent of your control over the individual can be relevant to their employment status. Subjecting a member to your disciplinary process is one in favour of them being an – with all the rights that this entails – although it will not be conclusive by itself. It may therefore be more appropriate to treat disciplinary matters relating to these members more informally. Our template Contract - casual worker contains wording setting out an informal procedure to this effect.

It will generally not be appropriate to subject a to any sort of disciplinary process.


Q42:How do I carry out a formal disciplinary process?

You are legally required to provide your with details of your disciplinary procedure which you must follow (see Staff handbook and HR policies for information about setting an appropriate procedure and Staff handbook and policies for a template policy you can use).

Your disciplinary process should include the following steps:

  1. Appoint a person to deal with the matter

    Once a potential disciplinary matter has been identified, you must decide who will be appointed to handle the issue; often this will be the member's line manager but this may not be appropriate. See Q&A 43 for further information about this.

  2. Investigate and establish the facts

    You will usually need to carry out an investigation into the matter to ascertain whether it does indeed require action, and this must be done as soon as possible. See Q&A 44 and following for further information about carrying out an investigation.

  3. Explain the issue and invite the member to a disciplinary meeting

    If it is decided that the matter does warrant disciplinary action, you will need to inform the member of of this in writing and arrange a disciplinary meeting to discuss it, in enough time to allow the member of to properly prepare; see Q&A 51.

  4. Hold a disciplinary meeting

    See Q&A 53 for information about how to run a disciplinary meeting.

  5. Take disciplinary action if appropriate

    Following the meeting, you will need to decide what action to take; written warnings will often be appropriate in the first instance. See Q&A 65 for information about how to decide on what action to take and Q&A 66 and following for how to give written warnings.

  6. Give a right to appeal your decision

    Your member must be allowed to appeal your decision if they wish; any appeal should be heard as soon as possible and ideally by somebody who was not involved in the initial handling of the matter. See Q&A 70 and following for information about appeals.

You should keep a written record of disciplinary cases you deal with, including notes and minutes from any hearings and copies of written warnings or correspondence with the member. However, you must make sure you comply with your obligations when storing such personal information. See Records and staff data for further information on the legal requirements.

You can find a how-to guide, along with all the relevant documents you are likely to need for disciplinary processes, at Disciplinary toolkit.


Q43:How do I decide who is the most appropriate person to handle a disciplinary process?

As a general rule, you must ensure that the person who handles a disciplinary process is independent, impartial and sufficiently senior to be able to deal with it.

The member's line manager is often the most appropriate person, but this will not always be the case. It is important that there is no question of the person being biased, so if the line manager was closely involved in the incident in question or if they have a close personal relationship with the member and would struggle to act impartially, you should use somebody else to deal with the matter if possible.

Ensure that any managers whose responsibility it is to handle disciplinary matters are familiar with your procedures and know how to investigate a disciplinary matter (see Q&A 44) and run a disciplinary meeting (see Q&A 53). It is a good idea to offer them some training about this .

Note that if a member of appeals a disciplinary outcome, the appeal process should be dealt with by a person who was not involved in the initial handling of the matter if possible; see Q&A 70 and following for how to deal with an appeal.


Q44:Do I have to conduct a full investigation into a disciplinary matter?

This depends on the circumstances; it is not always necessary to carry out a full investigation into a disciplinary issue. For example, if the member of has already admitted the , or if you can resolve the issue informally, then an investigation may not be required.

You must act reasonably and fairly towards the member you are investigating. Make sure that your investigation is proportionate to how serious the matter is. However, if in doubt, you should err on the side of caution and conduct a full investigation. It is particularly important that the member gets a chance to explain matters and challenge any allegations. If you fail to conduct a full investigation when you ought to have done so, you could face an or claim.

See Q&A 45 for information about how to conduct a disciplinary investigation and Disciplinary investigation template for a template form you can use to structure and record the results of your investigation.


Q45:How do I carry out a disciplinary investigation?

There is no set way to investigate a disciplinary matter; the steps you take will depend on the circumstances.

See Disciplinary investigation template for a template form you can use to structure and record the results of your investigation.

The ACAS Code of Practice makes a number of recommendations.

  1. In some cases (eg where there is a serious risk to your business or it is necessary to protect your ), you may need to suspend the member of with pay while you are conducting your investigation. You should only do this after careful consideration and make clear that the suspension is not a form of disciplinary action; see Q&A 61 for further information and Suspension letter pending investigation for a template letter you can use.

  2. You can gather facts by holding an investigatory meeting with the member in question or simply by collecting evidence (eg from other members of or employment records). If you do hold an investigatory meeting, you should give the member time to prepare for it. Do not discuss disciplinary action at an investigatory meeting; this should only be dealt with at a formal meeting conducted as part of your disciplinary procedure.

  3. When asking questions to fellow members of you should be neutral in your attempt to establish the facts; see Q&A 46 for further information.

  4. You can use relevant CCTV footage or other surveillance information as evidence, provided that you obtained the footage properly, in compliance with law. For example, you must have a lawful basis for the use of CCTV and you must have informed that monitoring was taking place (eg by displaying signs beside cameras). See Data protection issues when monitoring staff for more information on your obligations when monitoring your through the use of CCTV, opening emails or voicemails or tracking social media use and browsing history.

You must also ensure that you retain all relevant documents such as notes of the investigation, meeting notes and documents submitted by other . This will help you show that you carried out a fair and thorough procedure as well as allowing you to properly respond if you are later faced with a legal claim over disciplinary action you have taken. For information on how to comply with your obligations when keeping records of disciplinary action see Records and staff data.


Q46:How do I gather information from members of staff during a disciplinary investigation?

If it is necessary to interview your to properly investigate a disciplinary matter, bear in mind the following points:

  1. A prompt investigation is particularly important when taking because of the effect a time delay can have on memory.

  2. When asking questions to fellow members of you should be neutral in your attempt to establish the facts. This means you should not ask leading questions. For example, you should ask the member of about a colleague's behaviour rather than asking for confirmation that the member of under investigation was intoxicated.

  3. You should produce a statement setting out a record of the member's evidence. Allow the member of to review their statement carefully and to sign it to confirm it accurately reflects what was discussed.

  4. You will need to consider whether the identity of the witness should remain hidden (eg due to the risk of reprisals from the member of under investigation). Be particularly careful if dealing with anonymous informants; for example, look for other evidence that can back up their accounts wherever possible and consider whether it is appropriate to check their character and background.

See Disciplinary investigation template for a template form you can use to structure and record the results of your investigation.


Q47:How do I respond to a request for information from a staff member who is subject to disciplinary proceedings?

A member who is subject to disciplinary proceedings might ask you for information. For example, they may want details of any discussions management have had about their performance.

Your obligations depend on what is in the information that the member requests:

  1. the member requests information about themself (see Q&A 48);

  2. the member requests confidential information about your business or information about someone else (see Q&A 49); or

  3. the information which has been requested does not contain personal information about anybody and is not confidential information (see Q&A 50).


Q48:How do I deal with a staff member's request for information about them (a subject access request) during a disciplinary process?

You have a legal obligation to provide your with access to and details of the personal information you hold about them, if they request it (this is known as a ). The request need not be made in a specific form or with any specific wording. It may even appear to be something else at first glance, such as a general inquiry into how the disciplinary investigation is proceeding. The says that regardless of the wording of the request, if it is for access to the requester's , you must treat it as a .

There are a few limited exceptions which allow you to hold back some types of personal information, including an exemption for information relating to confidential management planning and information that may prejudice any negotiations with the individual making the request. For an explanation of how to deal with a , including what information you can hold back and how to provide the information see Subject access requests and Checklist for responding to a subject access request.


Q49:How do I deal with a staff member's request for confidential information about other staff or my business during a disciplinary process?

Find out why the member wants the information, as it may be that you can provide what they want in a less specific form (eg if statistics are requested, you could provide average figures or the highest and lowest figures in anonymised form). Alternatively, if the information is commercially sensitive and you do not want the member to have a copy, if you are comfortable with doing so, you could simply allow the to see the information at a meeting, rather than taking a copy away. In any case, if you do not provide the information the member has requested you should explain why.

Often the information requested will also contain personal information about another individual, eg emails will include the names of recipient(s) and sender. In this case redacting or amending a document is often the most appropriate way to avoid disclosing confidential information or , whilst ensuring you meet your own obligations to the individual making the request. See Subject access requests for other methods of dealing with this issue.


Q50:How do I deal with a staff member's request for information that is not personal or confidential during a disciplinary process?

You should ordinarily provide such information to the member, unless you have a good reason not to.

Not doing so may lead the member to believe that you have something to hide, which could make them more likely to bring an claim against you eg for or (if you end up dismissing them at the end of the disciplinary process). If is alleged, the Tribunal can look at whether or not you have replied to questions the member asked as part of an overall assessment of your behaviour. Depending on the circumstances, be aware that can be very high for claims. For example, if your disciplinary procedure results in a dismissal causing an to lose their full pension rights, you may have to compensate them for their entire loss.


Q51:How do I arrange a disciplinary hearing?

If, following your investigations, you decide that a disciplinary hearing is required, you should schedule the meeting promptly, while still giving the member enough time to prepare. There are no set rules about how much notice you must give; see Q&A 52 for further information.

Include any evidence you have uncovered to support your position and explain the possible consequences of the situation, so that the member can properly prepare for the meeting. Note that if the member is an or , they have the right to be accompanied at the meeting by a colleague or trade union representative and the letter should inform them of this right; see Q&A 55 and following for further information.

For a template letter inviting the member of to attend a disciplinary meeting see Invitation to attend a disciplinary hearing . If the matter relates to the member having taken an unacceptable amount of sick leave, you can use Invitation to attend meeting to discuss sickness absence (see Q&A 79 and following for information about what to do in this situation).


Q52:How much notice should I give a staff member for a disciplinary hearing?

There are no legal requirements as to the amount of notice you should give a member before the disciplinary hearing; it depends on the nature of the allegations and the circumstances of each case. Three days is a good rule of thumb, but a member of will need more time to prepare a case where the allegations against them are very serious or if you are aware that they are ill you should give them extra time to recover before the hearing takes place. For a template letter inviting the member of to attend a disciplinary meeting see Invitation to attend a disciplinary hearing.

You should be flexible in changing a hearing time if it falls on a religious festival for that member of and they intended not to work that day, or eg where a pregnant member of needs to attend an antenatal appointment at the proposed time. If you fail to arrange another time, you may be discriminating against your .

Note that if a member of persistently refuses to attend a hearing, you may hold the hearing in their absence and make a decision on the available evidence.


Q53:How do I run a disciplinary hearing?

The disciplinary hearing will normally be heard by the member's direct manager. You should also arrange for someone who is not involved in the case to take a note of the hearing, and make sure that you have copies of all the documentary evidence such as , time sheets, disciplinary records available at the meeting.

The meeting should be held somewhere private where you will not be interrupted.

Make sure that you maintain a formal and professional approach throughout the hearing and do not make personal remarks or get involved in arguments. As far as possible, recommends that the meeting proceeds as follows:

  1. introduce everyone present and explain their roles;

  2. explain the purpose of the hearing and how it will be conducted;

  3. set out the allegations against the member of and discuss the evidence gathered;

  4. allow the member to respond to the allegations, ask questions, provide evidence and call witnesses;

  5. ask the member any further questions to clarify the detail of their position;

  6. summarise the main points of discussion;

  7. ask the member whether there is anything else they would like to add; and

  8. adjourn the meeting before you reach a decision, to allow you to properly consider the matter and check any matters raised in the meeting if required.

For a script which you can use to help you conduct a disciplinary meeting, see Basic script for conducting a disciplinary hearing and see Note taking template for disciplinary proceedings for a document to use to take notes during the hearing.

Following the meeting you will need to decide on an outcome and communicate this to the member. You might decide that there is no case to answer or it may be that disciplinary action is appropriate. For help deciding on the appropriate action, see Q&A 65.


Q54:What steps do I need to consider making for a disciplinary meeting if my staff member is disabled?

You are required by law to make reasonable adjustments for members if there is a risk that they would otherwise be put at a disadvantage in relation to their ability to participate in the disciplinary process. This could include holding the meeting at a location which a physically member is able to get to or allowing a member with a learning to bring a friend to the meeting (as well as the trade union representative or colleague who you are legally obliged to allow in attendance) to assist them and conducting it in a way that does not disadvantage them. If you do not make reasonable adjustments where possible, then you risk discriminating against the member based on their .

See List of common disabilities for a list of conditions that commonly count as disabilities.


Q55:Who can my staff member choose to accompany them at a disciplinary hearing?

Where a disciplinary hearing could lead to a warning or other disciplinary action, an or has the right to be accompanied by a colleague or trade union official. You must agree to a reasonable request to be accompanied, otherwise the member may bring a claim for compensation of up to two weeks' pay against you in an .

It is completely up to the member of who they choose to accompany them, provided the person is a colleague or trade union official. Where the companion is a fellow member of , you must give them paid time off during working hours to accompany their colleague to disciplinary proceedings. If the member's chosen companion cannot attend the hearing on the date you have arranged, the member is entitled to choose an alternative date. The alternative date must be reasonable and within five working days of the date on which the hearing was originally to take place.


Q56:What role can my staff member's companion play in the disciplinary meeting?

The role of the companion is limited to making the member's case during the disciplinary hearing, responding on the member's behalf to views expressed at the meeting and conferring with the member during the hearing. They may not answer questions on the member's behalf or prevent you from explaining your case.


Q57:When will it be appropriate to use mediation as part of a disciplinary process?

There is no legal requirement to use as part of your disciplinary process, but it can be appropriate in some circumstances. For example, may be helpful as a way to resolve conflict between members or to improve relationships after a dispute has been dealt with. It will be particularly appropriate where there have been personal conflicts, , bullying or a breakdown in communication.

If you want to use , you can do so at any stage you think appropriate during the disciplinary process. Your disciplinary policy may already include a separate stage, but if it does not you should suspend your disciplinary proceedings while is ongoing.


Q58:Who can act as a mediator during a disciplinary process?

Whilst it is possible to train certain as mediators, for most small businesses it will be more practical to use an external . You can use various external organisations to help find one; for example, ACAS, the Ministry of Justice search engine or CEDR. The cost of a will vary depending on the length and complexity of the matter, but a small dispute should not cost more than a few hundred pounds.


Q59:Can I monitor a staff member during a disciplinary process?

In some circumstances you may be able to monitor a member of as part of your investigation into a disciplinary issue. However, if you plan to do so you must make sure you comply with your obligations. For example, you must have a lawful basis for carrying out the monitoring, should usually inform of any monitoring and limit it to the minimum amount necessary to achieve your purpose. The extent of the monitoring you are able to carry out will vary depending on your circumstances. For example, covert monitoring is usually only likely to be acceptable in very serious circumstances, such as the detection and prevention of criminal offences. You should assess whether it is necessary to monitor your and balance this against the impact the monitoring will have on the individual.

For detailed information on your obligations and duties as an before implementing any type of monitoring of your ; see Data protection issues when monitoring staff.


Q60:Can I make a digital recording of a disciplinary meeting conducted remotely?

As a general rule, no. You can only record disciplinary meetings conducted remotely (eg by video conference) if it is necessary to do so and you have a clear purpose, and as part of this you will need to consider less intrusive alternatives. In most cases, keeping contemporaneous notes and/or having an independent present is likely to be more appropriate. For further guidance, see Recording staff telephone conversations and meetings.


Q61:Can I suspend a staff member during a disciplinary process?

You can suspend a member with pay while you are investigating a disciplinary issue, but only if you believe it is necessary having considered all the facts of the case, and then only for the minimum amount of time needed in the circumstances. You must not suspend a member as a knee jerk reaction to a disciplinary issue; to do so would be a of your duty of trust and confidence towards the member which may entitle them to leave and claim unfair against you.

The ACAS Code of Practice recommends that, if you do suspend a member of , you should make clear that this is not a form of disciplinary action or an implication of guilt. Your compliance with the Code can later be taken into account by the courts in deciding if you have followed a fair process as part of your disciplinary procedure. Failure to do so will harm your prospects if eg you dismiss an and they bring a claim for .

also gives guidance on the circumstances in which suspension with pay may be appropriate if it is necessary to protect:

  1. an investigation (eg you have concerns about interference with witnesses or evidence);

  2. your business (eg if your business interests are genuinely at risk);

  3. other ; or

  4. the person you are considering suspending.

See Suspension letter pending investigation for a template letter informing a member that they are being suspended for the duration of the disciplinary investigation.

You should review the suspension regularly to make sure it is not continuing for longer than necessary.


Q62:Can I withhold pay from a staff member who has been suspended as part of a disciplinary process?

Not usually. You can normally only withhold pay from a member on suspension if their contract expressly says that you can, no matter how serious the matter leading to their suspension. Even if the contract allows it, you are best getting legal advice before you withhold pay as it can very easily lead to costly legal action being taken against you.


Q63:What should I do if a staff member raises a grievance at the same time as a disciplinary matter is being dealt with?

It is not uncommon for members who are the subject of a disciplinary process to raise a at the same time. Sometimes this will be related to the way in which the disciplinary process is being conducted, it may relate to the circumstances that gave rise to the disciplinary process, or it may be completely unrelated.

It is important not to confuse the two processes as they are in place to achieve different objectives. You should therefore ensure when an who is the subject of a disciplinary process raises a that you engage your procedure and hear it separately to the disciplinary process.

In any event, where a member raises a whilst a disciplinary process is ongoing, you should consider suspending the disciplinary process until such time as the can be dealt with. In practice, this will demonstrate that you have followed a fair process by hearing the out before reaching any conclusion in relation to the disciplinary process. However, where the disciplinary process and are related, it may be more appropriate to deal with both matters at the same time. Both approaches are permissible and it will depend on the individual circumstances of each case as to whether it is or is not more appropriate to suspend the disciplinary process to hear the or to continue with both.

For further information on how to deal with , see Q&A 1 and following.


Q64:What should I do if a staff member resigns during the course of a disciplinary process?

NOTE: Following the introduction of the Employment Rights Bill to Parliament on 10 October 2024, this area of law is being considered for reform (see our blog explaining the Bill here). Any reforms are unlikely to take effect before 2026. The Bill proposes further rights from day one of employment, including protection from (currently available only after two years of service).

If a member of is subject to a disciplinary investigation, they may choose to resign rather than face the stress of awaiting the outcome of the process and the possibility of a dismissal on their disciplinary record. As long as this is a genuine choice, not one reached after they have been threatened with dismissal, there should be no problem with them doing this.

However, if you tell a member of that they have no future with the business and give them a choice between resigning or being dismissed, and they resign as a result, this can in fact count as a dismissal. If the member of is an and has two years' they could claim and of their employment contract as a result.

To avoid this situation, you should ensure that the member of is aware that no decision has or will be taken until the disciplinary process is complete, the outcome of which may or may not be dismissal. You must avoid placing them under pressure to resign as a way of circumventing the need to go through with the disciplinary process or dismissal itself.

For information about what to do when a member resigns, see What to do if a staff member resigns.


Q65:How do I decide on an outcome following a disciplinary process?

Once you have held the disciplinary meeting you should adjourn it to carefully consider whether any disciplinary action is justified; do not make any decision on the spot at the end of the meeting. When making your decision, advises that you take the following general factors into consideration, but remember that each case must be decided on its own facts:

  1. any rules in the handbook setting out what action is appropriate in this particular circumstance (eg a policy that bullying a colleague is taken very seriously and usually warrants dismissal). For template policies you can use, see Staff handbook and policies;

  2. what disciplinary action has been taken in similar cases in the past;

  3. the member's previous disciplinary record, job position and length of service;

  4. any special circumstances (eg if the member has been struggling with difficult personal circumstances that have partially caused the problem, this might justify a more lenient penalty);

  5. whether the disciplinary action is reasonable overall;

  6. whether any further training or support is required to help the member.

If the allegations against the member are found to be true, you should issue appropriate warnings; see Q&A 66 for information.


Q66:What warnings do I need to give my staff member after a disciplinary process?

In most cases, you should issue a written warning in the first instance. You can use First written warning for capability or First written warning for misconduct to issue a formal first written warning for capability and respectively. If the matter relates to the member having taken an unacceptable level of sick leave, you can use Sickness absence meeting - outcome letter (see Q&A 80 for information about particular points to consider in this situation).

If the member commits further or fails to improve their performance within the period set out in the first written warning (see Q&A 67) you should then issue a final written warning.

In more serious cases, a member's first instance of or poor performance may be enough to warrant a final warning. For example, if the member's or poor performance leads to the loss of key clients, this may be sufficiently serious to lead to a final warning.

For templates to use for a final written warning see Final written warning for capability and Final written warning for misconduct.

Only think about dismissing a member after having having given an appropriate series of warnings; see Q&A 69 for information.


Q67:How long should written warnings remain in effect?

You are free to choose how long a warning should remain in effect and should include this in your disciplinary policy; Staff handbook and policies contains a template policy (you can choose to generate the policy either on its own or as part of a full ).

The appropriate period will depend on the type of warning given, for example, suggests that a first warning may be valid for only six months but a final written warning might be valid for 12 months.


Q68:Can I take into account expired warnings during my disciplinary process?

Expired warnings can be a consideration in future disciplinary actions, but you should not base your decision solely on them as you might if they were still current.


Q69:How many written warnings do I need to give before I can fire a staff member?

Dismissal should only be used as a last resort and is unlikely to be appropriate in response to a single act of (although it may be where the member has committed gross ). Your disciplinary policy should provide for an escalating series of warnings (Staff handbook and policies contains a template policy, which you can choose to generate either on its own or as part of a full ).

If you dismiss the member of before going through an appropriate system of warnings, you may open yourself up to a or . See Dismissal letter.

Depending on the circumstances, be aware that can be very high for claims. For example, if your disciplinary procedure results in a dismissal causing an to lose their full pension rights, you may have to compensate them for their entire loss.


Q70:Can a staff member appeal my disciplinary decision?

Yes, and you should inform them of their right to do so in your letter setting out the outcome of the disciplinary process (see Q&A 65 for information about making a decision and informing the member and First written warning for capability or First written warning for misconduct for template outcome letters).


Q71:Who should handle a disciplinary appeal process?

If possible, the person who handles the appeal should be different to the person who ran the original disciplinary process, although in smaller businesses it may not be possible for the person hearing the appeal to be totally removed from the initial disciplinary procedure.


Q72:How do I run a disciplinary appeal process and who should handle it?

It is important to run your appeals process properly as, if you have made any procedural mistakes in your disciplinary process, you can correct them during the appeal and perhaps avoid a claim of or from the member.

You should:

  1. Ask the member to explain the grounds of their appeal in writing. If new evidence has come to light, this must be considered.

  2. Hold a meeting to hear the appeal promptly, and notify the member of in advance as to the details of it. For a template letter, see Invitation to attend a disciplinary appeal hearing.

  3. Run the appeal meeting in a similar way to the initial disciplinary hearing; as before, if the member of is an or they have the right to be accompanied at the meeting by a fellow member or trade union representative of their choosing. You can use Basic script for conducting a disciplinary appeal hearing as a guide for the general process of running an appeal hearing, and Note taking template for disciplinary proceedings for a document to use for taking notes during the hearing.

  4. Inform the member of the outcome of the appeal meeting as soon as possible. You should also explain that this decision is final and there is no further right of appeal. For a template letter, see Letter to confirm outcome of a disciplinary appeal.


Specific disciplinary situations
Q73:What should I do if a staff member is under-performing?

It is sensible to have systems in place to identify performance issues promptly, including holding regular performance reviews, the provision of adequate support and training and ensuring good communication between and management. If a member is under-performing, you must address the issue directly so that you can resolve it before the situation worsens.

For many performance issues, an informal discussion will be enough to make the member aware of the need to improve. Remember that you should always make a brief record of any informal action that has been taken for reference later (but you should not record it as part of the member's formal disciplinary record). For more information on your legal obligations when keeping records see Records and staff data.

If an informal approach is not appropriate (eg in more serious cases of under-performance, such as where it has resulted in the loss of an important client) or does not resolve the issue, you should follow your standard disciplinary procedures. This will involve investigating the member's performance to determine in what areas and to what extent they have not met the required standard, and holding one or more meetings to discuss the member's poor performance. See Q&A 42 and following for further information.

Some particular points to bear in mind are:

  1. collect evidence of the performance issues and take a fair and consistent approach (see Q&A 74); and

  2. take particular care if the member of is pregnant (see Pregnant staff) or if you think their under-performance may be linked to a health issue or (see Q&A 75).


Q74:How do I prove that my staff member is under-performing?

You must have objective reasons for and evidence of your performance concerns in relation to a member of ; you cannot base your concerns on assumptions. For example, if you are concerned that a sales manager is not performing as they should, you must be able to show why that is the case by looking not just at their sales figures, but at how far they are from meeting their targets.

You must also treat the member fairly in comparison to other . For example, if you want to discipline them because they are not meeting their targets, you should also discipline other who are failing to do so. Failure to do so could lead to a claim for or, if you end up dismissing the member, a claim for (usually provided that the member is an who has been by you for at least two years).


Q75:What do I do if a staff member who has a health issue or disability is under-performing?

If you think there may be a health issue underlying the poor performance, you should consider whether the member of has a . A is a condition which has a substantial and long-term effect on the individual’s ability to carry out their day to day activities. Some illnesses, including cancer, HIV and MS are disabilities, and mental health issues such as depression can also count as disabilities in some circumstances as can symptoms related to menopause. See List of common disabilities for conditions that usually count as disabilities.

If a member does have a you have a duty to consider making adjustments to their working conditions in order to allow them to do their job. This might include altering their duties. If you simply discipline or even dismiss a person without having considered what adjustments you could put in place, you could face a legal claim for .


Q76:How do I deal with a member of staff who has committed misconduct?

NOTE: Following the introduction of the Employment Rights Bill to Parliament on 10 October 2024, this area of law is being considered for reform (see our blog explaining the Bill here). Any reforms are unlikely to take effect before 2026. The Bill proposes further rights from day one of employment, including protection from (currently available only after two years of service).

As with any disciplinary matter, if the is minor, you should first try to resolve the issue informally by discussing it with the member. An informal discussion will often be enough to resolve minor instances of . Remember that you should always make a brief record of any informal action that has been taken for reference later (but this should not be recorded in the member's disciplinary record).

In some cases an informal approach will not be appropriate (eg where there are allegations of gross ) or will fail to resolve the issue. In this case you should follow your standard formal disciplinary procedures as explained in Q&A 42. This will involve investigating the member's conduct and holding disciplinary meetings. See Q&A 77 for information about what may count as gross .

You must be very careful to follow a fair and transparent procedure when dealing with as a formal disciplinary matter, even if the allegation is of very serious gross . Failing to do so could lead to a claim of (usually provided the member is an who has been by you for at least two years), or . Ensuring that you retain all relevant documents from each stage of the disciplinary procedure will help you demonstrate that you have followed a fair procedure, as well as allowing you to properly respond if you are later faced with a legal claim over disciplinary action you have taken. For information on how to comply with your obligations when keeping records of disciplinary action see Records and staff data.


Q77:What counts as gross misconduct?

is any which is serious enough to justify dismissing the member without notice. Given the gravity of an allegation of gross , you may consider suspending the member in question on full pay until the facts of the matter can be investigated (see Q&A 61). You will have to decide, based on the circumstances of your business, what sort of will be considered serious enough to warrant this.

There is no definitive list, but suggests that the following might commonly be considered gross :

  1. stealing;

  2. committing fraud;

  3. physical violence or bullying;

  4. or ;

  5. serious misuse of the business's name or property;

  6. serious insubordination;

  7. deliberately accessing pornographic, offensive or obscene content on the internet while at work;

  8. causing serious damage to the business's reputation;

  9. serious incapability for work because of intoxication from alcohol or illegal drugs;

  10. serious resulting in loss, damage or injury;

  11. any of health and safety rules which is serious enough to cause injury or put others at substantial risk;

  12. a serious (eg divulging confidential business information to a competitor).

A member guilty of may also be guilty of a criminal offence. For more information on dealing with who are convicted of a criminal offence see Q&A 78.


Q78:How do I deal with a member of staff who has been charged with or convicted of a criminal offence?

Although being charged with or convicted of a criminal offence is very serious for the member in question, it may not necessarily be a disciplinary matter at all (assuming the offence did not take place at work). A crime committed outside of work will only be a disciplinary matter if it could in some way affect the member's work.

Whether you should carry out a disciplinary procedure for a member of charged with or convicted of a criminal offence will depend on the circumstances of each case. One important is the nature of the member's role and whether the particular offence with which they are charged or convicted of has any bearing on their work. For example, it will not be a disciplinary issue if a member of your sales team is charged with a driving offence (unless driving is a necessary part of their job). However, it will almost certainly be a disciplinary issue if one of your shop assistants is convicted of stealing from a nearby shop.

Before deciding to take any disciplinary action, you should ensure that you have carried out an investigation to establish the facts. If you come to the conclusion that a disciplinary procedure is required, you do not have to wait until the end of any criminal case (if the member of has not yet been convicted). advises that you should not ask the police for assistance in your investigation and they should not be present at any disciplinary meeting. Whether the individual is found guilty of committing the offence should not necessarily influence your decision – you are still entitled to take disciplinary action even if they are not found guilty by the court so long as you follow a fair procedure. Any disciplinary action taken should be reasonable in all the circumstances and based on the evidence you have gathered.

See Q&A 45 for more information on how to carry out a disciplinary investigation, and see Q&A 65 for information on how to come to a decision about the appropriate action.


Q79:How do I deal with a staff member whose frequent sickness absence has become disruptive for my business?

You are entitled to take into account the impact of frequent absence on the rest of your and on your business as a whole. It is usually best to start addressing the issue with an informal conversation which may help you to deal with the member's absence. For example, frequent sickness absence can be a sign that a member is struggling with their work. Remember that you should always make a brief record of any informal action that has been taken (but this should not be recorded in the member's disciplinary record).

If you have attempted informal action but the absences continue and are disruptive, you may decide that there is a disciplinary issue. For example, this might be the case if there are no acceptable reasons for the member's absences. In this situation, you should conduct a formal disciplinary procedure; see Q&A 80.


Q80:How do I carry out a formal disciplinary procedure because of an unacceptable level of sickness absence?

NOTE: Following the introduction of the Employment Rights Bill to Parliament on 10 October 2024, this area of law is being considered for reform (see our blog explaining the Bill here). Any reforms are unlikely to take effect before 2026. The Bill proposes further rights from day one of employment, including protection from (currently available only after two years of service).

Before carrying out a formal disciplinary procedure because of sickness absence, you should first try to resolve the matter informally; see Q&A 79.

If this is not possible, you should follow your normal disciplinary procedure. See Q&A 42 for how to do this. For a template letter inviting an to a meeting to discuss sickness absence, see Invitation to attend meeting to discuss sickness absence and for a template letter to send following the meeting, see Sickness absence meeting - outcome letter.

Some particular points to bear in mind are as follows:

  1. You must treat the member fairly in comparison to other when deciding when your disciplinary procedure will bite. For example, if you want to discipline them after 15 sickness absences in a calendar year, you should discipline any other who have the same record. Failure to do so could lead to claim for or, if you end up dismissing the member, a claim for (usually provided that the member is an who has been by you for at least two years).

  2. In the case of multiple short-term absences which the member has self-certified, ask them to see a doctor in case the matters are linked or there is an underlying problem that can be treated. For example, if the member is stressed or run down and prone to catch infections and colds as a result, you may be able to help them by making short-term adjustments to their role.

  3. If the member is pregnant you must be careful to establish whether her absences are due to a pregnancy-related illness. If they are, you must not subject her to any disadvantage (such as disciplining her), as this is likely to amount to for reasons related to pregnancy. For more information on disciplining pregnant see Pregnant staff.

  4. If you think there is a health issue underlying a member's absences, you should consider whether they have a . A is a condition which has a substantial and long-term effect on the individual’s ability to carry out their day to day activities. Some illnesses, including cancer, HIV and MS are disabilities, and mental health issues such as depression can also count as disabilities in some circumstances. See List of common disabilities for more information.

    If a member does have a you have a duty to consider making adjustments to their working conditions in order to allow them to do their job. This might include altering their duties. If you simply discipline or even dismiss a person without having considered what adjustments you could put in place, you could face a legal claim for .

  5. Consider whether might address the absences. For example, if a member's health is delicate and they have a particularly arduous commute, you could consider allowing them to work from home one or two days a week.

    Note that (or apprentices) with at least 26 weeks' are entitled to make a request. You must consider any such request carefully and can only reject it for one or more of eight specific reasons. See Flexible working requests for details of these reasons and how to deal with such a request.

  6. It is likely to be appropriate to give the member the opportunity to improve their attendance. This is best done by setting clear and specific targets to achieve within a specific period (eg 95% attendance over the next 3 months), which may be extended if an improvement is seen but the targets are still not met. See Sickness absence meeting - outcome letter for a template setting targets.