Disciplinary situations are one of the most common - and highest-risk - areas for line managers.
The good news is that getting it right isn't about being harsh or soft. It's about being fair, consistent, and following the right steps.
This checklist is here to help you do exactly that.
[ ] When a concern is brought to your attention, stop and take a breath. Don't act on it straight away.
[ ] Avoid making any decisions based on instinct, frustration, or hearsay at this stage.
[ ] Note down the concern that's been raised - what it is, when it happened and who raised it.
[ ] Check your company's disciplinary policy before going any further. It'll tell you what steps you need to follow.
Involve HR if: you’re unsure whether the concern is serious enough to pursue, or you need guidance on what your policy requires.
Why this matters: a knee-jerk decision made early in the process can undermine the fairness of everything that follows.
[ ] Identify what evidence is available - this could include emails, letters, relevant records, CCTV footage or witness accounts
[ ] Note the dates and times of any alleged incidents.
[ ] Check whether your company policy requires a separate investigation meeting with the employee. If it does, arrange one so they can give their version of events.
Involve HR if: the investigation feels complex, involves multiple people, or the alleged conduct could be linked to a protected characteristic such as disability.
Why this matters: To justify any disciplinary action, you'll need to show you had a reasonable belief - based on evidence - that the issue occurred.
[ ] Review all the evidence you've gathered
[ ] Ask yourself honestly: is there enough here to suggest the allegation needs to be taken further?
[ ] If yes, move to Step 4. If no, make a note of your decision and why, and let the employee know in writing.
Involve HR if: you’re unsure or the situation feels borderline.
[ ] Confirm with HR that there’s a case to answer before issuing an invite for a disciplinary hearing.
[ ] Work with HR to write and send a written invite letter to the employee which gives them enough notice for them to prepare. You may have an approved template in your business for this. If not, you can find a template here.
[ ] Make sure the invite includes: a clear explanation of the concerns, the evidence you'll be referring to, and the potential outcome if the allegations are upheld.
[ ] Remind the employee of their right to be accompanied by a trade union representative or a colleague.
HR’s role: HR will typically draft or review the invite letter. The hearing should be chaired by someone who hasn’t been involved in the investigation – HR can help identify the right person.
[ ] Present the concerns and evidence clearly to the employee at the start of the meeting.
[ ] Give them a genuine opportunity to respond to the evidence and share their version of events.
[ ] Take careful notes throughout - or have a note-taker present.
[ ] Don't make a decision in the room. Take time to consider everything you've heard.
HR’s role: HR will often be present to support the process, take notes or advise. The decision itself shouldn’t be made by you alone – discuss it with HR before communicating any outcome.
[ ] Weigh up the evidence and the employee's response.
[ ] Work with HR to decide whether the allegations are upheld - and if so, what the appropriate outcome is (e.g. a verbal warning, written warning, final written warning, or no further action).
[ ] Work with HR to write and send a letter that confirms the outcome in writing to the employee, explaining clearly how you reached your decision. Again, you may have an approved template in your business for this. If not, you can find a template here.
[ ] Make sure you're treating this case consistently with how similar cases have been handled before - unless there are genuine reasons to do otherwise.
HR’s role: HR will usually draft the outcome letter, confirm the appropriate sanction (verbal warning, written warning, final written warning or no further action) and make sure the reasoning is documented clearly. Don't send anything in writing to the employee without HR sign-off.
[ ] Where the outcome includes any disciplinary sanction, the employee must be given the right to appeal. Check that your employee knows how to appeal, including who to contact and within what timeframe.
HR’s role: HR will include the right of appeal in the outcome letter and manage the appeal process – including identifying who should hear it.
Throughout the whole process, make sure you've kept a record of:
[ ] The original concern raised
[ ] Evidence gathered during the investigation
[ ] Notes from all meetings you were part of
[ ] Any correspondence you were involved in sending or receiving
HR's role: HR should hold the formal disciplinary file, including invite letters, outcome letters and appeal records.
Good documentation protects both you and the employee if anything is ever questioned down the line.
If your organisation uses an HR software system like Breathe, you can store employee documents and track absence all inside the platform – so everything’s in one place when you need it.
Don't wait - go straight to HR if:
[ ] Dismissal could be a possible outcome
[ ] The issue feels particularly serious or complex
[ ] The conduct in question may be connected to a disability or other protected characteristic
This checklist is a practical guide to help you follow a fair process - it's not a substitute for your company's own disciplinary policy or professional legal advice. Don't have an internal HR expert? Speak to a trusted HR consultant from the Breathe Partner Programme.
The Breathe Growth Academy has a full suite of free, expert-led training for line managers - covering everything from communication and performance management to wellbeing and leading with confidence. Head to the hub to explore the courses and find more practical resources you can use straight away.
What is a disciplinary procedure and why does it matter?
A disciplinary procedure is a formal process used by employers to manage and address employee misconduct or poor performance.
It gives everyone - the employee and the employer - a clear, fair framework to follow. Without one, it's easy for line managers to act inconsistently, which can lead to claims of unfair treatment or, at worst, an employment tribunal claim.
A clear disciplinary policy also protects both parties. It sets out expected standards of behaviour and gives employees the opportunity to respond to any allegations before action is taken.
What's the difference between minor misconduct and gross misconduct?
Misconduct is when an employee's behaviour or action breaks the organisation's rules.
Minor misconduct might include things like repeated lateness or not following a reasonable workplace instruction. These situations don't always need to go straight to a formal disciplinary procedure - an informal discussion or an informal warning is often the right first step.
Gross misconduct is different. It refers to actions so serious they can justify immediate dismissal without notice - sometimes called summary dismissal.
Examples include theft, physical violence or serious breaches of safety regulations. Even in cases of gross misconduct, employers must still conduct a thorough investigation before taking formal disciplinary action.
What does a fair disciplinary procedure look like?
The Acas Code of Practice sets the minimum standards for a fair disciplinary process in the UK.
While the Acas code isn't legally binding, failure to follow it can influence how an employment tribunal calculates compensation if a claim is made.
In practice, a fair disciplinary procedure typically involves three stages: a thorough investigation into the concerns, a disciplinary hearing where the employee can present their side, and the right to appeal any disciplinary decision.
It's not about punishment - it's about making a reasonable decision based on facts supported by evidence.
What are an employee's rights during a disciplinary hearing?
Employees have the right to be accompanied at a disciplinary hearing by a colleague or a trade union representative.
They should be given reasonable time to prepare, including access to the evidence that will be referred to.
After the hearing, employers must confirm the outcome in writing - including the reasons for the decision.
Where a disciplinary sanction is issued, the employee must also be offered the right to appeal.
What are the possible outcomes of a disciplinary hearing?
The outcome of a disciplinary hearing will depend on the evidence gathered and the seriousness of the issue. Possible outcomes include:
No further action
An informal warning
A first written warning
A final written warning
Dismissal (in serious cases)
Repeated instances of minor misconduct can escalate through this process over time.
Whatever the outcome, it should be confirmed in writing and should clearly explain how the decision was reached.
Can an employee be suspended during a disciplinary investigation?
Yes, but it should only happen when necessary - and it should never be used as a form of punishment. If an employee is suspended during a disciplinary procedure, it must be on full pay and should not be treated as implying guilt. Employers should keep the suspension period to a minimum and act without unreasonable delay.
What happens if we don't follow a fair disciplinary procedure?
Failing to follow a fair disciplinary procedure can leave the business exposed to claims of unfair dismissal at an employment tribunal.
Even if the underlying reason for dismissal was valid, a flawed process can still result in a finding against the employer.
That's why it matters so much for line managers to understand the process - and to know when to bring HR in. Getting the procedure right from the start is far less costly than dealing with the fallout later.
What if the disciplinary issue is related to a disability or protected characteristic?
This is where it's especially important to pause and get HR or legal advice before proceeding. If an employee's behaviour is connected to a disability or other protected characteristic, the situation requires careful handling to avoid discrimination claims. It doesn't mean disciplinary action can't be taken - but it does mean the process needs extra care and expertise.