Disciplinary Appeal Letter

What is a Disciplinary Appeal Letter?

A disciplinary appeal letter is a letter used by an employee to appeal a disciplinary penalty made by an employer relating to the employee's performance at work. The disciplinary action taken by the employer could be suspending the employee from work, terminating their employment contract or other similar decisions. The employee can use this letter to request that the employer reconsider their decision or hold another disciplinary hearing to consider the matter again (e.g. where there are new facts or evidence that is relevant).

An example of an instance where this appeal letter can be used is where an employee has been given a disciplinary decision suspending them without pay as a result of their lateness. The employee can use this letter to explain that they have evidence showing they informed their supervisor about issues on their way to work, and also requested flexible working to accommodate their personal circumstances.

Is it mandatory to have a Disciplinary Appeal Letter?

Yes, it may be mandatory to have a disciplinary appeal letter if the employer's disciplinary policy states that it is required when raising an appeal. A disciplinary appeal letter can be used to request that the employer's decision be overturned, reduced, reinvestigated or even suggest alternative resolution.

Even where the employer's policy does not provide for this, it is still highly recommended to have one as a means of documenting the employee's case in the event of escalation. A disciplinary appeal letter can be used to appeal a suspension with or without pay, a dismissal/termination of employment, a reduction in salary, a formal or informal warning given by the employer, or a disciplinary action for alleged misconduct.

What are the prerequisites of a Disciplinary Appeal Letter?

Before a disciplinary appeal letter can be used, the employee should have already received a warning letter from the employer about a disciplinary action being taken against the employee in accordance with the employer's policy.

What is the correct procedure to be followed for disciplinary process?

The disciplinary process followed by the employer should be in line with the ACAS code of conduct.

The employer should inform the employee in writing that they will be starting a disciplinary procedure. The letter or email should let the employee know the basis of the procedure and what the consequences of the disciplinary action may be (e.g. a warning letter, suspension etc).

After the employer has carried out a proper investigation, the employee should be invited to a meeting (i.e. the disciplinary hearing) where they should be given the opportunity to defend themselves. The employee may also exercise their legal right to be accompanied to the hearing.

After the hearing, the employer should take some time to consider all the evidences and arguments presented, and inform the employee of a decision as soon as possible (e.g suspension, termination, no punishment etc).

Who is involved in a Disciplinary Appeal Letter?

The parties involved are the employee, who is the sender of the disciplinary appeal letter, and the employer, who is the recipient. The recipient may also be a specific person within the employer's organisation (e.g. the HR Manager) who will receive and handle these types of matters within the employer's organisation.

How long after receiving a disciplinary decision should the employee send an Appeal Letter?

There is no legal rule on when an employee should send their appeal to the employer. However, in practice, the appeal should be sent within a reasonable timeframe which is usually between 5 and 10 working days from the date of the disciplinary decision.

If the employer's disciplinary procedure states the timeline for when an appeal should be submitted, then the employee should follow the process outlined in the disciplinary procedure.

What has to be done once the Letter is ready?

The completed letter should be signed and dated by the employee appealing against the disciplinary action.

It should then be provided to the appropriate individual within the employer's organisation who will be responsible for investigating the appeal (e.g. the HR Director) or in any other way stipulated in the employer's internal disciplinary procedure.

The employee appealing against the disciplinary action may wish to keep a copy of the document in case the employer loses or claims never to have received the original.

Which documents should be attached to the Appeal Letter?

The employee can attach evidences to the letter to further support their appeal. These include:

• Correspondences surrounding the issue;
• Witness statements of colleagues and co-workers;
• The employee's performance records; or
• Medical records (if applicable).

Is the employer obligated to accept the reasons presented by the employee in the Appeal Letter?

No, the employer is not obligated to accept the reasons the employee presents in the appeal letter. However, they are required to properly and fairly consider them.

What can be done if the employer doesn't accept the employee's appeal?

If the employer does not accept or ignores the employee's appeal without reasonable justifications, it may be treated as a failure to follow a fair process. If the employee ends up taking a claim to the employment tribunal, their case may be strengthened by the employer's failure to follow a fair process. Additionally, any compensation granted may be increased by up to 25% if the employer failed to follow ACAS guidelines.

If the employer fairly considered the appeal but still rejects the reasons, the employee can explore other internal options for further appeal if any exists, or raise a formal grievance under the employer's grievance procedure. The employee can also consider going for ACAS early conciliation and ultimately, the employee may raise a claim with the employment tribunal if they feel the employer's decision was legally unfair.

What types of disciplinary penalties exist?

There are different types of disciplinary penalties, all depending on the particular offence and the employer's disciplinary procedure. These include:

• Suspension (with or without pay);
• Termination of employment/dismissal;
• Verbal or written warning; or
• Reduction in pay or demotion from current position.

What defence does an employee have against a disciplinary penalty?

In defending themselves in their appeal, an employee can challenge the disciplinary penalty on a variety of grounds, these include:

• Challenging the harshness of the penalty and suggesting alternative solutions;
• Submitting new evidence to strengthen their case and prompting the employer to reconsider;
• Challenging the procedure used by the employer; or
• Proving that their personal circumstances were not considered (e.g. medical condition).

What behaviours can give rise to a disciplinary penalty?

There are different behaviours that can give rise to a disciplinary penalty, such as:

• lateness or too many unauthorised absences;
• inappropriate behaviour towards colleagues and managers
• breach of company policy (e.g social media policy, substance abuse policy);
• gross misconduct (e.g. stealing company property);
• discrimination against to other colleagues (e.g. making sexist or racist remarks to colleagues); or
• insurbordination (e.g. outrightly disobeying an instruction from a manager or supervisor).

What must a Disciplinary Appeal Letter contain?

A disciplinary appeal letter must contain:

• The name and address of the employee (if being sent by post);
• The name and address of the employer (if being sent by post);
• The name of the person within the employer who will receive the letter (if applicable);
• The date of the letter; and
• The reasons for the appeal.

Which laws are applicable to a Disciplinary Appeal Letter?

Employment Rights Act 1996

Employment Act 2002

Acas Code of Practice

LRA Code of Practice on Disciplinary and Grievance Procedures

UK Government Guidance on Dismissal

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