Leadership in HR: Balancing people and process interviews with HR leaders on the application of disciplinary policy and process (NHS Employers)

Summary

This paper is based on interviews with Chief People Officers (and their equivalent role) from NHS organisations in England, Northern Ireland and Wales.

Individuals were invited to take part based on the authors’ knowledge of their organisations’ work to review and improve disciplinary processes. Some were at the start of a journey to address issues and concerns. Others were further forward.

Of the 19 organisations approached, 16 responded. They represented acute trusts (7), ambulance services (1), community trusts (2), mental health trusts (4) and specialist trusts (2). Apart from a few deputies, the interviewees all held responsibility for People/HR in their organisations and were members of their executive teams.

The authors conducted 90 minute interviews with participants between October 2024 and April 2025. Each related to the application of disciplinary policy and processes in the interviewee’s organisation. After transcription and undertaking a thematic analysis, seven themes were agreed from the interviews.

Content

How you can use this paper

1. Discuss with senior HR leaders in your community: What are the points that resonate with you? What do you challenge or disagree with? How can the paper and its themes support change?
2. Discuss with your HR team: How does your current practice align or differ from the themes raised? What themes do you wish to develop? What themes need further consideration and discussion? Can you use this paper to guide your approach to disciplinary processes in your organisation?
3. Discuss with your executive team and board: Introduce the seven themes to colleagues for awareness and reflection. How do they wish to proceed – in-line with the seven themes or by challenging them and taking another approach? What data do they need to assess performance and outcomes? 

Seven themes and key take-aways

1. The essential role of HR leadership Strengthen Board leadership so CPOs lead, own and report on disciplinary policy in line with organisational culture and values.
2. Putting people at the centre Design policies that are accessible, humane and rooted in trust, written in clear language and focused on the people affected.
3. Support for everyone involved Ensure consistent, structured support for staff under investigation, as well as for managers, investigators and HR teams.
4. Addressing inequality Improve fairness, transparency and consistency in how disciplinary processes are applied across the workforce.
5. Choosing the correct process Support managers to distinguish between conduct and capability issues and to intervene in all HR issues earlier and appropriately.
6. Taking a last resort approach Prioritise informal resolution wherever appropriate to reduce harm and improve outcomes for individuals and teams.
7. Pursue continuous improvement Embed ongoing learning in organisations, reviewing processes regularly and using data to drive improvement and consistency.