A disciplinary procedure is the formal way a UK employer deals with an employee's misconduct or poor performance. The fair sequence is: investigate, tell the employee in writing, hold a hearing where they can bring a companion, decide in writing and offer an appeal. If an employee wins at tribunal and you didn't follow the Acas Code, GOV.UK says their award could be up to 25% more.
The Acas Code of Practice on disciplinary and grievance procedures isn't the law, but tribunals judge employers against it. Acas also says to try an informal fix first, because a private conversation, agreed improvements or a training plan is often quicker than any formal process. Everything here comes from the Acas step-by-step guide and GOV.UK.
Misconduct or capability: which one are you dealing with?
| Type | What it means | Acas examples |
|---|---|---|
| Misconduct | Inappropriate behaviour that breaks the organisation's rules | Bullying, harassment, refusing to do work, absence without permission |
| Gross misconduct | Very serious acts or acts with very serious effects | Fraud, physical violence, gross negligence, serious insubordination |
| Capability | The ability to do the job | Performance problems, often handled first with coaching, mentoring or training |
Some employers run a separate capability procedure for performance. That's fine, but it still has to meet the Acas Code. Misconduct outside work can count too: Acas's example is behaviour in front of clients at the work Christmas party that reflects badly on the company, as long as you investigate and can show the effect on the business.
What your written rules must cover
GOV.UK says your disciplinary rules must be in the written statement of employment or clearly written somewhere else, such as a staff handbook. They should say what's acceptable and what isn't, give examples of gross misconduct, and name the person employees appeal to. Miss that and lose a tribunal claim, and the employee could be awarded 2 to 4 weeks' pay on top. If you make the procedure part of the contract, not following it can also become a breach of contract claim.
The disciplinary procedure, step by step
- Investigate. Gather as much information as you reasonably can about the alleged misconduct or performance issue.
- Write to the employee. Set out the allegation, the evidence, the date, time and place of the hearing, their right to be accompanied and the possible outcomes.
- Hold the hearing as soon as possible after the investigation, leaving reasonable time to prepare. The employee can answer the allegations, show evidence and call relevant witnesses with good notice.
- Decide after the hearing, not in the room. Acas says take time to consider the case and tell the employee what happens next and when.
- Confirm the outcome in writing as soon as possible, with goals and timeframes if it's not a dismissal.
- Offer the right of appeal, with a deadline for asking.
The right to be accompanied
By law an employee or worker can bring a companion to a disciplinary hearing: someone they work with, a certified workplace trade union representative or an official employed by a trade union. The companion can set out the employee's case, respond for them, talk with them during the hearing, take notes and sum up at the end. Answering questions on the employee's behalf is allowed only if you agree; it's not a legal requirement. For a disabled employee, a reasonable adjustment might mean allowing a different companion, such as a support worker.
Warnings and other outcomes
| Outcome | When Acas says it fits |
|---|---|
| No action | No misconduct or performance issue found; end the procedure and help the employee back to normal |
| Informal or verbal warning | A small, not serious issue; still keep a confidential written note |
| First written warning | Usually the first formal step once misconduct or poor performance is confirmed |
| Final written warning | Repeated misconduct or no improvement in the set timeframe, or straight away for serious cases |
| Demotion | An alternative to dismissal, only if the contract allows it and after discussing it fully |
| Dismissal | Gross misconduct, or a repeat after a final written warning |
A written warning should say what the problem is, the changes needed and by when, what happens if they're not made, how long the warning lasts and any support or training you'll provide. Dismissal should only be decided by a manager with the authority to do it, and the employee needs the reasons, the end date, the notice period and their right of appeal.
Gross misconduct still needs a fair procedure
This is the rule that catches out small employers: even where the facts look obvious, Acas says you must still investigate and run a fair disciplinary procedure before deciding on dismissal without notice or payment in lieu of notice. Our gross misconduct guide covers the examples in more detail.
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Awkward situations Acas covers
- The employee raises a grievance mid-way: you can pause the disciplinary and deal with the grievance first, or run both together if they're related.
- The employee is off sick on the hearing date: contact them and rearrange, consider a different venue, and only carry on without them after weighing things like the seriousness of the issue and, with permission, a medical opinion. If you go ahead, let them send a written statement.
- The employee wants to resign: Acas says talk it through and give them the chance to change their mind, because resigning can lead to a constructive dismissal claim.
- References later: you don't have to give one, but if you do it must be fair, accurate and consistent, which can mean mentioning disciplinary action.
The verdict
Treat the procedure as protection, not paperwork. Investigate before you accuse, put everything in writing, let the employee bring a companion and decide after the hearing rather than during it. The employers who come unstuck at tribunal usually had a fair reason and skipped a step to get there faster.
Frequently asked questions
What are the stages of a disciplinary procedure?
Investigation, a letter setting out the allegation, a hearing with the right to be accompanied, a written decision and an appeal.
Can you be dismissed without a warning?
Yes, for gross misconduct, but Acas says the employer must still investigate and follow a fair procedure first.
Who can come with me to a disciplinary hearing?
Someone you work with, a certified workplace trade union representative or an official employed by a trade union.
What happens if an employer ignores the Acas Code?
If the employee wins at an employment tribunal, GOV.UK says their award could be up to 25% more.
