How to Conduct a Disciplinary Hearing | CoachScript

Knowing how to conduct a disciplinary hearing correctly is one of the most important skills a retail line manager can develop. Get it right and you protect your business, treat your employee fairly, and stay on the right side of UK employment law. Get it wrong and you risk an employment tribunal, inflated compensation awards, and a serious dent in team morale. This guide walks you through every stage of the process, aligned with the ACAS Code of Practice on Disciplinary and Grievance Procedures.

What is a disciplinary hearing and when do you need one?

A disciplinary hearing is a formal meeting held after an investigation has established that there is a case to answer — whether that relates to an employee's conduct (such as persistent lateness, theft, or a serious breach of policy) or their performance (failing to meet reasonable, documented standards). It is not a foregone conclusion or a formality before dismissal. It is an opportunity for the employee to hear the evidence against them, respond to it, and for you to make a fair, informed decision.

You need a disciplinary hearing whenever you are considering issuing a formal sanction — a first written warning, a final written warning, or dismissal. You do not need one for an informal chat about minor issues; reserve hearings for cases that genuinely warrant formal action.

The ACAS Code of Practice is not legally binding, but employment tribunals are required to take it into account. If a tribunal finds you acted unreasonably in failing to follow it, your compensation liability can increase by up to 25 per cent.

Step 1 — Complete a thorough investigation first

Never move straight to a hearing. Before you invite anyone to a formal disciplinary meeting, conduct a proper investigation to establish the facts. This means gathering evidence — witness statements, CCTV footage, written records, sales data, or whatever is relevant to the specific allegation.

Wherever possible, the person who carries out the investigation should be different from the manager who chairs the disciplinary hearing. In a small retail environment this is not always easy, but even nominating a deputy manager or area manager to chair the hearing adds a layer of impartiality that will stand up to scrutiny.

If the allegation is serious enough to warrant suspension while you investigate (for example, suspected theft), any suspension should be on full pay and reviewed regularly. Unpaid suspension before a hearing has concluded is not permitted and can itself become grounds for a tribunal claim.

CoachScript's workplace investigation guide walks you through gathering evidence, writing investigation reports, and deciding whether there is a case to answer — helping you build a solid foundation before the hearing begins.

Step 2 — Invite the employee in writing with reasonable notice

Once your investigation concludes that a disciplinary hearing is warranted, you must notify the employee in writing. This is not optional. Your invitation letter must include:

• The specific allegation or allegations, described clearly enough for the employee to prepare their response
• Copies of all the evidence you intend to rely on — witness statements, documents, records
• The date, time, and location of the hearing
• The range of possible outcomes, up to and including dismissal if that is genuinely on the table
• A reminder of the employee's statutory right to be accompanied

On notice: there is no single statutory minimum period, but ACAS guidance and most tribunal decisions treat fewer than three working days as insufficient. Giving five working days is the safest standard. If the employee needs more time to arrange their companion or prepare their case and asks for a short postponement, it is generally sensible to agree.

The right to be accompanied is a statutory right under the Employment Relations Act 1999. An employee may bring a trade union representative, an accredited union official, or a workplace colleague. The companion may address the hearing, present the employee's case, sum up, and confer with the employee — but they cannot answer questions on the employee's behalf unless you explicitly invite them to do so. You must postpone the hearing if the chosen companion is unavailable on the proposed date and the employee requests an alternative time within five working days of the original date.

Step 3 — Conduct the hearing fairly and thoroughly

The hearing itself should follow a consistent structure. Here is a step-by-step order that meets ACAS expectations and creates a clear record:

1. Introductions. Open the meeting by introducing everyone present — the chair (you or the nominated manager), the note-taker, the employee, and their companion. Confirm that notes will be taken and that a copy will be made available to the employee afterwards.
2. Explain the purpose. State clearly that this is a formal disciplinary hearing, not an informal discussion. Explain the allegation(s) and refer to the evidence you sent in advance.
3. Present the evidence. Walk through the evidence methodically. Do not simply read it out — explain its significance and give the employee or their companion the opportunity to ask questions about it.
4. Hear the employee's response. This is the most important part. Give the employee a genuine, unhurried opportunity to explain what happened, challenge evidence they dispute, call any witnesses they have notified you about, and raise any mitigating factors (health issues, lack of training, personal circumstances). Use open questions: "Could you explain what happened from your perspective?" rather than closed or leading questions.
5. Adjourn to consider the evidence. Do not make a decision at the end of the meeting. Adjourn — even briefly — to weigh up what you have heard. If new facts have emerged that require further investigation, say so and arrange a follow-up before reaching a conclusion.

Throughout the hearing, remain calm and professional. Disciplinary proceedings are stressful. Allow short breaks if the employee becomes distressed. Take thorough notes — or better still, have a dedicated note-taker who is not involved in the decision-making. These notes may be central to your defence if the matter reaches a tribunal.

Step 4 — Make your decision and communicate it in writing

After carefully weighing the evidence and the employee's response, decide on the appropriate outcome. The range of sanctions available is typically:

Outcome	When it applies
No action	Allegations not substantiated, or too minor to warrant formal action
First written warning	First instance of misconduct or performance concern of moderate seriousness
Final written warning	Repeated misconduct, or a first instance of more serious misconduct
Dismissal with notice	Continued or serious misconduct after previous warnings
Summary dismissal (gross misconduct)	Theft, violence, gross negligence, or other fundamental breach of trust — only after a fair hearing

Your decision must be proportionate. Dismissing someone for a first minor infraction — or imposing a final written warning where the evidence barely supports a first warning — creates immediate tribunal risk. Apply the principle of consistency: check how similar cases have been handled in your organisation before.

Communicate the outcome in writing without unreasonable delay, ideally within two to five working days of the hearing. The outcome letter must state:

• The decision reached and the reason for it
• The sanction being imposed and how long any warning will remain on record
• What improvement is expected and in what timeframe, if relevant
• The employee's right to appeal, the time limit for doing so, and to whom the appeal should be addressed

The appeal must be handled by a different manager — preferably someone more senior — who was not involved in the original hearing. The employee retains the right to be accompanied at any appeal hearing.

Frequently asked questions

What if the employee refuses to attend the disciplinary hearing?

If an employee is genuinely unable to attend because of illness, you should attempt to rearrange the meeting at least once. You can ask for medical evidence if the absence is prolonged. If an employee is persistently unwilling to attend without good reason, ACAS guidance permits you to proceed in their absence and make a decision on the available evidence — provided you have given them the opportunity to submit a written statement. Document every step you take.

Can I conduct a disciplinary hearing on the same day as the investigation?

No. The employee must be given reasonable notice and time to prepare. Carrying out an investigation meeting and a formal disciplinary hearing on the same day is almost certain to be found unfair by a tribunal, because the employee has no opportunity to gather evidence or arrange a companion.

Does gross misconduct mean I can skip the disciplinary hearing?

No — and this is one of the most common and costly mistakes retail managers make. Even where the misconduct is so serious that dismissal is clearly warranted (theft, violence, discrimination), you are still required to follow a fair disciplinary process, including a hearing. Skipping the hearing in a gross misconduct case does not save time; it almost guarantees the dismissal will be ruled procedurally unfair.

How long do written warnings stay on an employee's record?

There is no statutory period, but ACAS guidance and good practice suggest six to twelve months for a first written warning and twelve months for a final written warning. Your company's disciplinary policy should state this clearly. Keeping a warning active for an unreasonably long time — or using a spent warning to justify a dismissal — will be scrutinised at tribunal.

What records should I keep after a disciplinary hearing?

Keep a copy of the invitation letter, all evidence shared with the employee, the hearing notes, the decision letter, and any appeal outcome. These records should be stored securely and retained for a reasonable period — at least the duration of employment plus a further two years is a sensible minimum. Access should be limited to those with a genuine need to know.

Conducting disciplinary hearings with confidence takes practice, preparation, and the right supporting materials. CoachScript's script generator helps retail line managers prepare for every stage of a difficult conversation — from investigation meetings to formal hearings — so you can walk in ready, stay on track, and handle whatever the employee raises. Explore the ACAS process guides to make sure every stage of your disciplinary procedure meets the standard employment tribunals expect.