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England & WalesProcess pack

Disciplinary Process Pack (England & Wales)

A fair disciplinary process follows a specific sequence, from investigation through to any appeal. Each document below is a faithful, diff-verified reproduction of the corresponding ACAS disciplinary letter templates. Read the step-by-step guide for how these fit together.

Document sequence
  1. 1
    Investigation Meeting Invite Letter (England & Wales)Diff-verified against the ACAS source
  2. 2
    Investigation Subject Notice Letter (England & Wales)Diff-verified against the ACAS source
  3. 3
  4. 4
  5. 5
    Disciplinary Outcome Letter (England & Wales)Diff-verified against the ACAS source
  6. 6
  7. 7
  8. 8
This information is a general guide for employers in England & Wales. It is not legal advice. Laws and statutory rates change over time — always verify the current position before relying on this information. For advice on your specific situation, consult a qualified professional.
Overview

A disciplinary process is how an employer formally addresses an employee's conduct or performance — for example misconduct, repeated lateness, or a serious breach of policy. In England & Wales, a fair process is expected to follow the Acas Code of Practice on Disciplinary and Grievance Procedures, and conduct is one of the potentially fair reasons for dismissal under the Employment Rights Act 1996, s.98. The Disciplinary Process Pack (England & Wales) gives employers the documents to run a fair disciplinary from start to finish — investigation, invitation, hearing, outcome and appeal letters — in the order you need them, aligned with the Acas Code.

When to use this pack
  • You need to address an employee's conduct (e.g. misconduct, gross misconduct) or, in some cases, performance/capability, through a formal process.
  • You want to follow the Acas Code and a fair procedure to reduce the risk of an unfair dismissal claim.
  • You may need to issue a warning, or in serious cases consider dismissal, and want it properly documented.
When NOT to use this pack (read this first)
  • The real issue is redundancy — the role is going, not the person's conduct. Use the Redundancy Process Pack instead.
  • The employee is raising a complaint or concern — that is a grievance, not a disciplinary. Use the Grievance Process Pack.
  • The issue is long-term ill health or genuine incapability, which often needs a distinct capability/medical process rather than a misconduct route — take advice.
  • The conduct issue may really be about whistleblowing (a protected disclosure) or discrimination. These can be automatically unfair and may not need a qualifying period — take advice before acting.
The process this pack covers
  1. 1

    Establish the facts — investigate promptly and fairly

    Before any decision. The investigation itself must be reasonable (Sainsbury's Supermarkets Ltd v Hitt [2003] IRLR 23).

  2. 2

    Inform the employee in writing

    Of the issue and possible consequences.

  3. 3

    Hold a disciplinary hearing

    Without unreasonable delay, giving the employee a chance to respond.

  4. 4

    Allow the employee to be accompanied

    By a colleague or trade union representative (Employment Relations Act 1999, s.10).

  5. 5

    Decide on proportionate action

    The decision must fall within the band of reasonable responses open to a reasonable employer (Iceland Frozen Foods Ltd v Jones [1983] ICR 17; reaffirmed in Post Office v Foley [2000] IRLR 827).

  6. 6

    Confirm the outcome in writing and offer the right to appeal

    Ideally, wherever reasonably practicable, to a manager not previously involved in the decision. Denying a fair appeal can make a dismissal unfair (West Midlands Co-operative Society v Tipton [1986] ICR 192), and a tribunal looks at the process as a whole (Taylor v OCS Group Ltd [2006] IRLR 613).

Key figures
  • The Acas Code matters: If a party unreasonably fails to follow the Acas Code, an employment tribunal can adjust a compensation award by up to 25% — increasing it where the employer is at fault, or reducing it where the employee is, where it considers it just and equitable (TULRCA 1992, s.207A). Following the Code is strongly in the employer's interest.
  • Warnings: A typical sequence for ongoing misconduct is a first written warning, then a final written warning, then dismissal — though serious cases can move faster. How long a warning stays "live" is set by the employer's policy (commonly around 6 months for a first warning and 12 months for a final warning).
  • Gross misconduct: Serious misconduct (for example theft, fraud, violence, or a serious breach of health and safety) can justify summary dismissal (dismissal without notice) — but the employer must still investigate and follow a fair process; it does not allow dismissal "on the spot" without procedure.
  • The Burchell test: For misconduct dismissals, tribunals apply the Burchell test (British Home Stores Ltd v Burchell [1978] IRLR 379): the employer must have a genuine belief in the misconduct, on reasonable grounds, after a reasonable investigation. Even a genuine reason can be unfair if a fair procedure is not followed (Polkey v AE Dayton Services Ltd [1987] UKHL 8). The overall test of fairness is set by ERA 1996, s.98(4).
Frequently asked questions
Do I have to follow the Acas Code?
It isn't a criminal offence not to, but tribunals take it into account: an unreasonable failure to follow the Acas Code can increase a compensation award by up to 25% where the tribunal considers it just and equitable. In practice, employers should follow it.
What are the steps in a disciplinary procedure?
Investigate the facts, inform the employee in writing, hold a hearing (at which they can be accompanied), decide on proportionate action, confirm it in writing, and offer a right of appeal.
What counts as gross misconduct?
Serious acts such as theft, fraud, physical violence, gross negligence, serious insubordination, or a serious breach of health and safety. Your disciplinary policy should list examples — but each case must still be investigated on its facts.
Can I dismiss someone for gross misconduct without notice?
Gross misconduct can justify summary dismissal (without notice), but only after a fair investigation and a fair procedure. You cannot fairly dismiss "on the spot" without following a process.
Does the employee have the right to be accompanied?
Yes — at a formal disciplinary hearing that could result in a warning or dismissal, the employee has a statutory right to be accompanied by a colleague or a trade union representative (Employment Relations Act 1999, s.10).
How many warnings do I have to give before dismissal?
There is no fixed legal number. For ongoing misconduct a common approach is first written warning → final written warning → dismissal, but serious misconduct can justify moving straight to a final warning or dismissal, provided the process is fair.
Do I have to investigate before a disciplinary hearing?
Yes — a reasonable investigation is a core part of a fair process, and for misconduct dismissals it is part of the Burchell test.
Can the employee appeal a disciplinary decision?
Yes — you should offer a right of appeal, ideally to a manager not previously involved in the decision. Denying a fair appeal can make a dismissal unfair.
What's the difference between disciplinary and capability?
Disciplinary usually deals with conduct (things within the employee's control, like behaviour). Capability deals with ability or health (performance or long-term sickness), and often follows a supportive, distinct process.
How long does a disciplinary warning stay on file?
This is set by your policy, not by statute — commonly around 6 months for a first written warning and 12 months for a final written warning, after which it usually lapses.
Related documents & tools
Sources & legislation

Legislation & regulations

  • Acas Code of Practice on Disciplinary and Grievance Procedures
  • Employment Rights Act 1996, ss. 98 and 98(4) (fair reasons and the reasonableness test)
  • Employment Relations Act 1999, s.10 (right to be accompanied)
  • Trade Union and Labour Relations (Consolidation) Act 1992, s.207A (up to 25% adjustment)

Case law

  • British Home Stores Ltd v Burchell [1978] IRLR 379 — The misconduct "Burchell test"
  • Iceland Frozen Foods Ltd v Jones [1983] ICR 17 — Band of reasonable responses
  • Post Office v Foley [2000] IRLR 827 — Reaffirming the band of reasonable responses
  • Sainsbury's Supermarkets Ltd v Hitt [2003] IRLR 23 — Reasonable investigation standard
  • Polkey v AE Dayton Services Ltd [1987] UKHL 8 — Procedural fairness
  • West Midlands Co-operative Society v Tipton [1986] ICR 192 — The right to a fair appeal
  • Taylor v OCS Group Ltd [2006] IRLR 613 — Fairness of the process as a whole

This information is for informational purposes only and does not constitute legal advice. For advice on a specific situation, consult a qualified adviser or Acas (acas.org.uk).