Disciplinary Policy & Procedure Template

Purpose and Scope

This policy sets out how [Organisation Name] handles employee conduct issues. It applies to all staff, including those on probation, but excludes [Agency Workers/Self-Employed Contractors].

Poor performance driven by a lack of skill or capability falls under the separate capability procedure, not this policy.

This policy is non-contractual. [Organisation Name] may amend it at any time.

Working through related paperwork at the same time? See also our Disciplinary Hearing Invitation Letter Template, Disciplinary Outcome Letter Template and WARN Act Notice Letter Template.

Principles and Legal Framework

• All formal stages follow statutory standards of fairness, adhering to the ACAS Code of Practice on disciplinary and grievance procedures and the Employment Rights Act 1996.
• We take no formal action until we have investigated the facts.
• Employees receive written notice of the allegations and supporting evidence before any disciplinary hearing.
• Employees may bring a colleague or trade union representative to any formal disciplinary hearing or appeal.
• We do not dismiss employees for a first offense unless it involves gross misconduct.
• We handle disciplinary matters promptly, consistently, and confidentially, keeping written records at every stage.

Informal Resolution

Managers should resolve minor conduct issues informally through direct conversation wherever possible:

• The line manager outlines the concern, hears the employee’s response, agrees on required improvements, and logs a note of the conversation in [System/Location].
• Informal notes are not formal disciplinary warnings and do not go on the employee’s disciplinary record.
• Managers initiate formal procedures if informal efforts fail or if the conduct is too serious for an informal approach.

Investigation Procedure

1. Appoint an Investigating Officer ([Role]). Where size permits, this person must not chair any later disciplinary hearing.
2. Gather evidence promptly, including written statements, documents, rotas, security records, or system logs.
3. Hold an investigatory meeting if you need the employee’s account. State clearly beforehand that the meeting is investigatory, not a formal hearing.
4. Consider suspension on full pay only if a genuine risk exists to people, property, or the investigation. Suspension is a neutral action, not a sanction, and must be kept as brief as possible.
5. Decide if there is a case to answer. If not, inform the employee and close the case. If a case exists, arrange a formal disciplinary hearing.

Disciplinary Hearing Procedure

1. Send written notice to the employee detailing the allegations, potential outcomes, supporting evidence, meeting details, and their right to companion representation. Give at least [Number] working days’ notice.
2. Hold the hearing without delay. A [Role] independent of the investigation should chair it wherever possible.
3. Present the allegations and evidence. Give the employee a full opportunity to respond, present evidence, call witnesses, and answer questions.
4. Adjourn before making a decision. Never announce findings during the hearing.
5. Issue the written decision within [Number] working days. Include the findings, any sanction, warning duration, required improvements, and appeal instructions.

Disciplinary Outcomes

Outcomes depend on the severity of the misconduct and any live warnings:

• No Action: The allegation is not upheld. No record goes on the employee’s disciplinary file.
• First Written Warning: Used for minor or moderate misconduct. Remains live for [Number] months.
• Final Written Warning: Used for serious misconduct or failure to improve while a warning is live. Remains live for [Number] months.
• Dismissal with Notice or Alternative Sanction: Used when a final written warning is already live, or where contracts allow alternative sanctions like demotion or transfer.
• Summary Dismissal: Used for gross misconduct. Ends employment immediately without notice or pay in lieu. Examples at [Organisation Name] include theft, physical violence, fraud, harassment, serious health and safety breaches, and working while unfit due to alcohol or drugs.

Appeals Procedure

1. An employee can appeal a formal sanction by writing to [Role] within [Number] working days of receiving the decision letter, outlining their grounds.
2. Set up the appeal hearing without delay. A [Role] senior to, and where possible independent of, the original decision-maker must chair it.
3. The chair reviews the grounds of appeal. They may confirm, reduce, or overturn the original sanction, but cannot increase it.
4. Confirm the final decision in writing. This completes the internal process.

Records and Policy Review

• Keep investigation notes, hearing records, decision letters, and appeal outcomes confidentially in [System/Location], separate from personnel files, in line with data retention rules.
• Disregard expired warnings in future disciplinary proceedings.
• We review this policy [Frequency] and update it after operational or regulatory changes.

Policy Owner: [Role] Last Reviewed: [Date] Next Review Due: [Date]