The Role of HR in Disciplinary Proceedings

A recent case before the Employment Appeal Tribunal (EAT) considered the fairness of a dismissal in circumstances where the decision maker was heavily influenced by input from the human resources department.

It has long been established that procedural fairness will exist where separate personnel are used at each stage of the disciplinary process.  Ideally, once an investigation is conducted, this is then passed to a separate, more senior officer to handle the disciplining and sanctioning of an employee.  Often, many employers will seek advice through their human resources department to assist with an investigation and to ensure that all matters have been addressed.  In the case before the EAT, an employee complained that HR had effectively led the disciplinary process and influenced the sanction by straying into the area of culpability.

Although the employee’s claim failed before the Employment Tribunal, the EAT allowed his appeal on the basis that the intervention by HR in the case was excessive.  It was found that the original investigatory report was changed significantly by HR and many comments which were once favourable to the employee were removed and replaced with critical comments.  HR took a view on the employee’s culpability and should not have done so.  The EAT held that the role of HR should be limited to questions of law, procedure and process and they should not advise on an appropriate sanction other than to comment on the consistency of treatment with previous cases.

On this basis, the excessive involvement of HR in the process compromised the fairness of the procedure as a whole and this could result in an unfair dismissal. Investigating and disciplinary officers must be given the freedom to prepare reports and make decisions based on those reports with assistance but not overbearing influence from their HR teams.