Running a Fair Disciplinary Process: Records That Stand Up Later

Right Decision, Wrong Process

An employee is caught taking money from the till. The evidence is clear, and the manager dismisses them the same afternoon. Months later, the employer loses an unfair termination claim.

This happens often, and it surprises managers every time. Under the Employment Act, a fair termination needs two things: a valid reason and a fair procedure. Being right about the reason is not enough on its own.

What Fair Procedure Means

For terminations on grounds of misconduct, poor performance or physical incapacity, the Employment Act requires the employer to:

• Explain the reason being considered to the employee, in a language they understand
• Allow the employee to have another employee or a shop floor union representative present
• Hear and consider the employee's response before deciding

That is the minimum. It does not require a courtroom. It does require that the steps happen, in order, and that you can show they happened.

The Records That Matter

When a decision is challenged, the question becomes: what can you prove? The useful records are:

The allegation in writing. What the employee is accused of, with dates and specifics, given to them before the hearing.

The invitation to the hearing. When it was sent, with enough notice to prepare, and mentioning their right to bring a colleague or representative.

The evidence. Statements, CCTV, till records, attendance logs. Gathered before the decision, not assembled afterwards to justify it.

The hearing notes. Who attended, what was said, and the employee's response in their own words.

The decision and reasons. In writing, explaining how the response was considered.

Previous warnings. For performance or repeated misconduct, the earlier warnings, performance reviews and improvement plans that show the employee knew what was expected.

Common Mistakes

Deciding before the hearing. A dismissal letter drafted before the employee has been heard is evidence that the hearing was a formality.

Vague allegations. "Gross misconduct" is a conclusion, not an allegation. Say what happened.

Lost paperwork. Warnings issued by a branch manager who has since left, stored in a drawer no one can find, may as well not exist.

Inconsistency. Dismissing one employee for something another was warned for invites a claim that the real reason was something else.

Using suspension as punishment. Suspension during an investigation should be for the investigation, for a reasonable period, and normally on pay unless the contract says otherwise.

Not Every Case Ends in Dismissal

A fair process often ends with a warning, an improvement plan or no action at all. That is a sign the process is working, not failing. The same records protect both the employer and the employee whatever the outcome.

Keep Cases in One Place

The difficulty in most organisations is not knowing what to do; it is keeping the record together. Warnings sit in emails, hearing notes on paper and evidence on a manager's phone.

StepUp HRM's disciplinary case management keeps each case in one place, from allegation to outcome, with the documents, dates and decisions attached to the employee's record. When a question comes up a year later, the answer is there.

This article is general guidance, not legal advice. For a specific case, take advice on your contracts and circumstances.