Disciplinary Process Checklist for UK Employers
For employers. Check whether your disciplinary process meets the ACAS Code of Practice — the standard Employment Tribunals apply when assessing fairness.
The ACAS Code of Practice on Disciplinary and Grievance Procedures sets out the minimum standard a fair disciplinary process must meet. Employment Tribunals take this code into account when deciding whether a dismissal was fair. If an employer unreasonably fails to follow the code and loses a tribunal claim, the tribunal can uplift the award by up to 25%.
This checklist covers the five key stages of a fair disciplinary process: investigation, invitation to hearing, the hearing itself, the outcome and decision, and the right of appeal. Steps marked CRITICAL are those most likely to result in a finding of unfair dismissal if missed.
Work through each step and click "Assess my process" at the bottom for an overall risk assessment.
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Investigation
0/5A reasonable investigation has been carried out before any disciplinary action was taken.CRITICAL
This may include interviewing witnesses, reviewing documents, CCTV, emails, or other evidence.
The investigation was conducted by someone sufficiently senior and ideally different from the person who will chair the hearing.
Separating investigation and hearing is good practice under the ACAS Code.
The employee was informed that an investigation was taking place.
All relevant evidence has been gathered and documented.CRITICAL
Any suspension was on full pay and was kept as brief as possible.
Suspension should not be used as punishment and must not be without pay unless the contract permits it.
Invitation to Hearing
0/5The employee has been given written notice of the disciplinary hearing.CRITICAL
The written notice states the specific allegations and potential consequences (e.g. dismissal).CRITICAL
The employee must understand what they are accused of and what could happen.
The employee has been given sufficient notice — usually at least 48 hours, ideally longer.
Copies of all relevant documents and evidence were shared with the employee in advance.CRITICAL
The employee must have a fair opportunity to prepare a response.
The employee has been informed of their right to be accompanied.CRITICAL
Employees have a statutory right to be accompanied by a trade union rep or a fellow worker.
The Disciplinary Hearing
0/6The hearing was chaired by a manager who had not conducted the investigation.
The employee was given the opportunity to state their case and respond to all allegations.CRITICAL
The employee was able to ask questions, present evidence, and call witnesses if needed.CRITICAL
The companion was allowed to speak, address the hearing, and confer with the employee.
Adequate notes or a record of the hearing were taken.
No decision was made at the hearing — the chair adjourned to consider the outcome.
Outcome and Decision
0/6The outcome was confirmed in writing within a reasonable time.CRITICAL
The penalty is proportionate to the misconduct.CRITICAL
Any previous warnings are still live and within their specified period.
The employee has been told the duration of any formal warning.
Where dismissal is the outcome, the effective date of termination and notice (or PILON) have been confirmed.CRITICAL
The employee has been informed of their right to appeal.CRITICAL
Right of Appeal
0/4The employee has been given a clear deadline to submit an appeal.
If an appeal is submitted, it will be heard by someone senior to the original hearing manager.CRITICAL
The appeal hearing follows the same procedural standards as the original hearing.
The outcome of the appeal is confirmed in writing.CRITICAL
Frequently asked questions
What is the ACAS Code of Practice?
The ACAS Code of Practice on Disciplinary and Grievance Procedures sets out the minimum standards employers should follow when handling disciplinary matters. It is not legally binding but Employment Tribunals must take it into account. Failure to follow it can result in a 25% uplift to any compensation award.
Does an employee have the right to be accompanied at a disciplinary hearing?
Yes. Under the Employment Relations Act 1999, all employees have the right to be accompanied at a formal disciplinary hearing by a trade union representative or a fellow worker. The companion can address the hearing and confer with the employee, but cannot answer questions on their behalf.
Can I dismiss an employee for a first offence?
Only in cases of gross misconduct — such as theft, violence, fraud, or serious breach of health and safety. For ordinary misconduct, you should follow a staged warning process: verbal warning, first written warning, final written warning, then dismissal. Skipping stages significantly increases tribunal risk.
How long do warnings stay on an employee's record?
Written warnings typically remain live for 6 to 12 months. Final written warnings typically remain live for 12 months. Your disciplinary policy should specify the duration. Expired warnings should generally not be taken into account when deciding on further disciplinary action.
What is the difference between misconduct and gross misconduct?
Misconduct is behaviour that falls below the standard expected but does not fundamentally breach the employment relationship — for example persistent lateness or minor dishonesty. Gross misconduct is a serious breach that fundamentally undermines the employment relationship, such as theft, violence, or serious health and safety violations. Gross misconduct can justify summary dismissal without notice.