How to Use This Checklist
Click each checkbox to mark items as complete. Your progress is automatically saved to your browser. Use this checklist to:
✅ Three Ways to Use This Tool
1. Draft new disciplinary procedures: Ensure you don't miss any essential ACAS Code or UK employment law requirements
2. Review existing procedures: Audit your current disciplinary policy against all 48 compliance points
3. Prepare for disciplinary action: Verify your procedure is legally compliant before taking any disciplinary steps
⚠️ Why ACAS Code Compliance Matters
📋 Legal Status: The ACAS Code of Practice on Disciplinary and Grievance Procedures sets minimum standards for fair treatment. Employment tribunals must consider the Code when relevant to a case.
⚖️ Tribunal Penalties: Unreasonable failure to follow the ACAS Code can result in tribunal awards being increased by up to 25%. Following the Code reduces this risk.
🎯 Essential Elements: Investigations before action, written notification of concerns, opportunity to respond, right to be accompanied, appeal rights. Missing these creates serious unfair dismissal risk.
💼 Common Failures: No proper investigation, insufficient notice of hearings, failure to allow representation, no appeal offered, inconsistent treatment, procedural shortcuts
⚠️ Understanding Importance Levels
🔴 Critical: Must have - ACAS Code requirement or creates serious unfair dismissal risk if omitted
🟡 Important: Should have - recommended for proper ACAS Code compliance and reducing tribunal risk
🔵 Recommended: Best practice - enhances fairness and demonstrates reasonable employer behavior
Company Name & Identification
Clearly identify the organization name and confirm which legal entity this procedure applies to. Essential for establishing the employer-employee relationship and legal standing.
🔴 Critical
Effective Date Stated
Include the date when the procedure comes into effect. This establishes when employees are subject to these disciplinary provisions and provides an audit trail for tribunal purposes.
🔴 Critical
Scope Definition
Clearly state who the procedure applies to: all employees, specific grades, contractors, etc. Senior managers or directors may have separate contractual procedures. Clarity prevents disputes about applicability.
🔴 Critical
Purpose & Objectives Statement
Explain the procedure's purpose: to ensure fair and consistent treatment, compliance with employment law, and provide framework for addressing misconduct. Demonstrates commitment to fairness and due process.
🟡 Important
Reference to ACAS Code of Practice
State that the procedure follows the ACAS Code of Practice on Disciplinary and Grievance Procedures. This shows awareness of best practice and reduces risk of 25% uplift on tribunal awards for unreasonable failure to follow ACAS guidance.
🔴 Critical
⚠️ Investigation is Mandatory Before Disciplinary Action
ACAS Code paragraph 5 requires employers to carry out necessary investigations before any disciplinary hearing. Failure to investigate properly is one of the most common reasons for unfair dismissal findings. The investigation establishes the facts and determines if there's a case to answer.
Requirement to Investigate Stated
Procedure must state that allegations will be investigated before any disciplinary action. ACAS Code paragraph 5: "Carry out necessary investigations of potential disciplinary matters without unreasonable delay to establish the facts." No investigation = likely unfair dismissal.
🔴 Critical
Investigation Meeting Invitation
Procedure should explain that employee will be invited to investigation meeting to discuss concerns and provide their account. Meeting should be informal fact-finding, not disciplinary. Employee should know what is being investigated and when meeting will occur.
🟡 Important
Witness Statements
State that relevant witnesses will be interviewed and statements obtained where appropriate. Witness evidence is crucial for establishing facts. Statements should be dated, signed, and kept confidential. Anonymous allegations should generally be avoided unless exceptional circumstances.
🟡 Important
Documentary Evidence Collection
Explain that relevant documents, emails, CCTV, timesheets, or other evidence will be gathered. Evidence must be preserved and disclosed to employee. Selective withholding of evidence that helps employee's case can make dismissal unfair. Document chain of custody.
🟡 Important
Investigation Report Required
State that investigator will prepare written report summarizing: allegations, evidence gathered, witness accounts, employee's response, investigator's findings on whether case to answer. Report forms basis for decision whether to proceed to disciplinary hearing. Must be objective and factual.
🔴 Critical
Separation of Investigator & Decision-Maker
Best practice: person conducting investigation should not be the decision-maker at disciplinary hearing. This ensures impartiality and fairness. In small organizations, complete separation may not be possible but should aim for different people where feasible.
🔵 Recommended
Suspension Policy (if applicable)
If suspension may be used during investigation, state: circumstances when suspension appropriate (e.g., gross misconduct, risk to business/staff, evidence preservation), that suspension is neutral act on full pay, maximum duration, regular review. Suspension should be brief and only when necessary.
🟡 Important
⚠️ Hearing is Where Formal Disciplinary Action is Decided
The disciplinary hearing is the formal meeting where the employer presents the case, employee responds, and decision on disciplinary action is made. ACAS Code requires: written notification of concerns, advance notice, opportunity to state case, right to be accompanied. Proper hearing procedure is essential to avoid unfair dismissal.
Written Invitation to Hearing
ACAS Code paragraph 8: Employee must receive written notification of: allegations/concerns, basis for those concerns (evidence summary), possible consequences, time/date/location of hearing, right to be accompanied. Give sufficient advance notice (typically 48 hours minimum, more for complex cases).
🔴 Critical
Evidence Disclosure Before Hearing
Employee must receive copies of evidence in advance: investigation report, witness statements, documents, CCTV stills, etc. This allows employee to prepare response. Ambush evidence at hearing is procedurally unfair. Redact third-party personal data (GDPR) but disclose substance of evidence.
🔴 Critical
Right to be Accompanied
Employment Relations Act 1999 s.10: Employee has statutory right to be accompanied by colleague or trade union representative. Must inform employee of this right. Companion can address hearing, confer with employee, but not answer questions on employee's behalf. Denying companion makes dismissal automatically unfair.
🔴 Critical
Reasonable Adjustments (if applicable)
Equality Act 2010: If employee has disability, employer must make reasonable adjustments to disciplinary process. This may include: breaks during hearing, questions in writing, support worker present, adjusted format. Failure to adjust can be discrimination. Document adjustments offered/made.
🔴 Critical
Hearing Format & Structure
Explain hearing structure: manager presents case and evidence, employee (and companion) respond and ask questions, witnesses may be called, employee makes final statement. Chair then adjourns to consider decision. Hearing should be fair opportunity for employee to state their case. Take notes or minutes.
🟡 Important
Adjournments if Needed
State that hearing may be adjourned if: further investigation needed, new evidence emerges, employee unwell, companion unavailable. ACAS Code: employers and employees should make reasonable efforts to attend. One postponement for companion unavailability is reasonable. Document reasons for adjournments.
🟡 Important
Decision & Outcome Notification
After hearing, decision-maker considers evidence and determines: no case proven (no action), case proven (disciplinary sanction). Employee should be informed in writing without unreasonable delay: decision, reasons, evidence relied upon, sanction (if any), improvement expectations, consequences of further misconduct, appeal rights.
🔴 Critical
Proceeding in Employee's Absence
Explain circumstances when hearing may proceed without employee: repeated non-attendance without good reason, deliberate avoidance. Employer must take reasonable steps to facilitate attendance. If proceeding in absence, decision based on available evidence. Employee retains appeal rights. Document attempts to secure attendance.
🔵 Recommended
⚡
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⚠️ Progressive Warnings are Standard UK Practice
UK employment law follows progressive discipline for misconduct (not gross misconduct): first offense typically results in verbal or written warning, repeated misconduct leads to final written warning, further breach may result in dismissal. Each warning must: specify conduct issue, state expected improvement, warn of consequences, state duration warning active (typically 6-12 months), include appeal rights.
First Warning (Verbal or Written)
Explain first sanction for misconduct: verbal warning (confirmed in writing) or written warning. Must state: conduct issue found proven, expected improvement/standards, consequences of further misconduct, duration warning remains on file (6-12 months typical), right of appeal. Clear that this is formal warning despite "verbal" label.
🔴 Critical
Written Warning Requirements
For written warnings, must include: specific details of misconduct found proven, how employee's conduct fell short of expected standards, improvement expectations and timescale for improvement, statement that failure to improve may lead to further disciplinary action, duration of warning (typically 12 months), appeal deadline and process.
🔴 Critical
Final Written Warning
State that serious misconduct or repeated misconduct (during active warning) results in final written warning. Letter must: detail the misconduct, reference previous warnings (if applicable), state employee's continued employment is at risk, set clear improvement expectations, specify warning duration (typically 12 months), explain dismissal may result from further breach.
🔴 Critical
Warning Duration & Expiry
Specify how long warnings remain active: 6 months for verbal/first written warning (typical), 12 months for final written warning (typical). After expiry, warning should be disregarded for future disciplinary purposes (though may remain on file for reference). Expired warnings shouldn't be used to justify dismissal.
🟡 Important
Alternative Sanctions
Explain other sanctions that may be appropriate: demotion, transfer to different role/department, loss of seniority, reduction in pay (with employee agreement), suspension without pay for up to 5 days (if contractually permitted), training/retraining. Any sanction must be reasonable and proportionate to misconduct.
🔵 Recommended
Support & Monitoring During Warning
Best practice: state that during warning period, employee will receive: clear standards expected, regular feedback on performance/conduct, reasonable support to improve (training, supervision, resources), monitoring meetings to review progress. Demonstrates employer's commitment to helping employee succeed. Document support provided.
🔵 Recommended
Skip Stages for Serious Misconduct
Explain that stages may be skipped for serious cases: first offense may warrant written warning or even final written warning (not just verbal), serious misconduct may go straight to final written warning. Decision depends on: severity of misconduct, impact on business, employee's disciplinary record. Document reasons for skipping stages.
🟡 Important
⚠️ Gross Misconduct Allows Summary Dismissal Without Notice
Gross misconduct is conduct so serious it destroys employment relationship and justifies dismissal without notice. Examples: theft, fraud, violence, serious insubordination, serious breach of health and safety, being under influence of drink/drugs at work. Even for gross misconduct, employer MUST follow fair procedure: investigate, hold hearing, allow employee to respond, consider mitigation, allow appeal.
Definition of Gross Misconduct
Provide clear definition: conduct so serious it fundamentally breaches employment contract and destroys trust and confidence. Include non-exhaustive list of examples: theft, fraud, physical violence, serious bullying/harassment, deliberate damage to property, serious breach of H&S, drunk/drugs at work, serious data breach, criminal offenses. List not exhaustive.
🔴 Critical
Summary Dismissal Explained
Explain that gross misconduct may result in summary dismissal (dismissal without notice or payment in lieu of notice). However, even for alleged gross misconduct, full disciplinary procedure must be followed: investigation, hearing, right to be accompanied, consideration of mitigation, written outcome, appeal rights. No shortcuts.
🔴 Critical
Dismissal Letter Requirements
Dismissal letter must include: clear statement of dismissal, effective date of termination (last day of employment), detailed reasons for dismissal (specific misconduct found proven), evidence relied upon, explanation why dismissal was appropriate sanction, notice period (or statement this is summary dismissal), final pay details, appeal rights and deadline.
🔴 Critical
Notice Period or Payment in Lieu
For dismissal (not gross misconduct), employer must: give contractual notice period, or pay in lieu of notice (if contract allows), or require employee to work notice (garden leave possible). For gross misconduct, summary dismissal without notice is permissible if conduct proven. Statutory minimum notice applies (1 week per year service, max 12 weeks).
🔴 Critical
Consider Mitigating Factors
Procedure must require decision-maker to consider mitigation before deciding dismissal: employee's length of service, previous record, whether conduct was out of character, personal circumstances, provocation, whether similar conduct by others resulted in dismissal. Failing to consider mitigation can make dismissal unfair even if misconduct proven.
🔴 Critical
Consistency of Treatment
State that disciplinary action must be consistent: similar misconduct should result in similar sanctions. If not, document reasons for different treatment. Inconsistency (e.g., dismissing one employee but only warning another for same conduct) makes dismissal potentially unfair. Keep records to demonstrate consistency.
🟡 Important
Consider Alternatives to Dismissal
Even for serious misconduct, decision-maker should consider whether dismissal necessary or whether alternative sanction appropriate: final written warning, demotion, transfer, additional training, closer supervision. Document why alternatives considered and why dismissal ultimately appropriate. Shows reasonableness.
🟡 Important
Final Pay & P45
Explain that on termination, employee entitled to: pay for time worked up to termination, accrued but untaken holiday pay (Working Time Regulations 1998), payment in lieu of notice (if applicable), any contractual payments owed. Issue P45 promptly. Deductions from final pay only lawful if: employee agrees in writing or contractual right exists.
🟡 Important
⚠️ Right to Appeal is Essential ACAS Requirement
ACAS Code paragraph 26: "Where an employee feels that disciplinary action taken against them is wrong or unjust they should appeal against the decision." Employees must be informed of right to appeal and how to exercise it. Failure to offer appeal or conduct appeal fairly can make dismissal unfair and increase tribunal compensation by 25%.
Right to Appeal Stated
Clearly state that employee has right to appeal any disciplinary sanction. Appeals not just for dismissals - employee can appeal warnings too. ACAS Code requires appeal right. Outcome letters must inform employee of: right to appeal, appeal deadline (typically 5-10 working days), how to appeal (in writing, to whom), what grounds to state.
🔴 Critical
Appeal Deadline
Specify time limit for lodging appeal: typically 5-10 working days from receipt of outcome letter. Deadline should be reasonable - too short (24 hours) may be unfair. Employee should submit appeal in writing stating grounds. Late appeals may be accepted if good reason for delay (sickness, etc). Document reasons if refusing late appeal.
🔴 Critical
Appeal Hearing Process
Explain appeal hearing procedure: employee invited to appeal hearing with reasonable notice, different manager hears appeal (more senior if possible), employee entitled to be accompanied, employee presents appeal grounds, original decision-maker may attend to explain reasoning, fresh look at evidence and decision, written appeal outcome provided promptly.
🔴 Critical
Appeal Outcomes
State possible appeal outcomes: appeal upheld (original decision overturned, sanction removed, may include back pay if dismissal overturned), appeal partially upheld (lesser sanction substituted), appeal rejected (original decision stands). Appeal manager should genuinely reconsider decision, not rubber-stamp. Appeal is part of disciplinary process, not separate grievance.
🟡 Important
Appeal Decision is Final
State that appeal decision is final and concludes the disciplinary process. No further internal appeal (unless exceptional circumstances). Employee retains right to bring employment tribunal claim if they believe dismissal was unfair, but internal process is exhausted. Appeal outcome letter should confirm decision is final.
🟡 Important
⚡
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Right to be Accompanied Explained
Reiterate statutory right under Employment Relations Act 1999 s.10: employee can bring companion (work colleague or trade union rep) to disciplinary and appeal hearings. Companion can address hearing, confer with employee, but not answer questions for them. Employer must permit reasonable postponement (once) if companion unavailable. Denying companion is criminal offense.
🔴 Critical
Reasonable Adjustments for Disability
Restate Equality Act 2010 duty: if employee has disability, employer must make reasonable adjustments to disciplinary process. Could include: adjustments to meeting format/timing, support worker, written questions, breaks, accessible venue. Failure to adjust may be discrimination. Obtain occupational health advice if needed. Document adjustments.
🔴 Critical
Protection for Vulnerable Employees
Extra care needed for: pregnant employees/new mothers (pregnancy discrimination risk), employees on maternity/paternity leave (don't assume return not intended), employees who've raised grievances or blown whistle (victimization/detriment risk), young workers, vulnerable adults. Ensure disciplinary action not connected to protected characteristic or protected act. Document legitimate reasons.
🟡 Important
Confidentiality
State that disciplinary matters will be handled confidentially. Information shared only with those who need to know: investigating officer, decision-makers, HR, witnesses (limited to their involvement), employee's companion. Gossiping about disciplinary matters is itself misconduct. GDPR applies - data processed lawfully. Breach of confidentiality damages trust.
🟡 Important
No Dismissal for First Offense (Usually)
Clarify that dismissal for first offense only appropriate for: gross misconduct, or where employee's actions are so serious that lesser sanction inadequate. For ordinary misconduct, progressive discipline (warnings first) is standard. Exception: in small organizations or for senior roles, lower threshold may apply. Document if dismissing for first offense and why.
🔵 Recommended
Maintain Disciplinary Records
State that employer will keep records of: allegations, investigation notes, evidence gathered, hearing notes, outcome letters, appeal documentation. Records essential for: demonstrating fair procedure, defending tribunal claims, ensuring consistency, organizational learning. Store securely (GDPR). Disciplinary records are kept on employee's personnel file.
🔴 Critical
Retention Period
Specify how long disciplinary records kept: warning letters remain on file until expiry (then disregarded for future purposes but may be retained as record), dismissed employees' records kept for at least 6 years after termination (tribunal time limit plus buffer). GDPR requires records not kept longer than necessary. Document retention policy.
🟡 Important
Data Protection Compliance (GDPR)
State that disciplinary records are personal data subject to UK GDPR/Data Protection Act 2018. Processing must be lawful (contract, legal obligation, legitimate interests), data minimized, kept secure, retained appropriately. Employees have: right to access their data (subject access request), right to correct inaccuracies. Anonymize witness statements where appropriate (redact names if not essential).
🔴 Critical
⚡
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Next Steps
Now that you've reviewed the compliance checklist, you have three options:
✅ Use Our Ready-Made Template (Recommended)
Save hours of legal research and drafting. Our professionally-crafted disciplinary procedure covers all 48 compliance points with legally-sound wording. It includes 6-stage letter templates: Investigation Meeting Invitation, Disciplinary Hearing Invitation, Verbal Warning, Written Warning, Final Written Warning, and Dismissal Letter. Available in both Interview Mode (guided) and Editor Mode (direct editing) for just £10.
📝 Draft Your Own Procedure
Use this checklist as your guide, but remember: getting the legal wording correct is complex. ACAS Code compliance, investigation requirements, hearing procedures, warning letter content, dismissal processes, and appeal rights require precise language. A single procedural error can result in unfair dismissal findings and 25% tribunal compensation uplifts for failure to follow ACAS Code.
⚖️ Book a Legal Consultation
For complex situations, senior role dismissals, gross misconduct cases, or high-value positions, consider booking a consultation with our legal professionals for personalized advice tailored to your specific circumstances.
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