⚖️ Disciplinary Policy Template

This policy sets out how [Organisation Name] handles conduct and performance concerns. Its purpose is to make sure issues are addressed promptly, fairly, and consistently, and that employees understand both what is expected of them and what happens when those expectations are not met.

This policy applies to all employees. It does not apply to contractors, agency workers, or self-employed individuals unless their agreement says otherwise.

Separate policies cover grievances, redundancy, and absence management.

Where a concern is minor and isolated, managers should try to resolve it through a direct conversation. This is not a formal step and should not go on anyone's file.

If the issue continues or is more serious, the formal procedure below applies.

Step 1: Investigation

Before any formal action, a reasonable investigation must take place. This may involve reviewing records, gathering documents, and speaking to witnesses. The employee should not be prejudged.

In serious cases, the employee may be suspended on full pay during the investigation. Suspension is a neutral act. It is not a punishment and should not be presented as one.

Step 2: Invitation to Hearing

If the investigation finds a case to answer, the employee will be invited in writing to attend a disciplinary hearing. The letter must:

Give at least 48 hours notice, more where possible.
Explain the nature of the allegation or allegations.
Include copies of the evidence being considered.
Confirm the employee's right to be accompanied.

Step 3: The Hearing

The hearing will be chaired by a manager who was not involved in the investigation. The employee will have the chance to respond to the allegations, present their side, and call witnesses.

Step 4: The Outcome

The manager will consider all the evidence before making a decision. The employee will be told the outcome in writing.

First Written Warning

Used where conduct or performance falls short of the required standard. Live for [12 months]. Further issues during this period can lead to a more serious outcome.

Final Written Warning

Used where a first warning has not led to improvement, or where the initial issue is serious enough to warrant it. Live for [12 months].

Dismissal with Notice

May apply where a final warning has been issued with no improvement, or where the conduct justifies it.

Summary Dismissal (Immediate, Without Notice)

Reserved for gross misconduct where the seriousness of the conduct means it is no longer possible to maintain the employment relationship.

Gross misconduct is conduct so serious that it fundamentally undermines the employment relationship. Examples include:

Theft, fraud, or deliberate falsification of records.
Physical violence or threatening behaviour.
Serious harassment or discrimination.
Deliberate damage to company property.
A serious breach of health and safety rules.
A serious breach of confidentiality.
Being under the influence of alcohol or drugs at work.

This is not an exhaustive list. Other conduct may also constitute gross misconduct depending on the circumstances.

The employee has the right to appeal any formal disciplinary outcome. Appeals must be made in writing to [HR or named individual] within [5 working days] of receiving the outcome letter, setting out the grounds.

Appeals will be heard by a more senior manager where possible. The appeal is a review of whether the process was fair and the outcome reasonable, not a full rehearing of the original case.

At any formal hearing or appeal, the employee has the statutory right to be accompanied by a trade union representative or a colleague. The companion can address the hearing and confer with the employee, but cannot answer questions on their behalf.

All formal disciplinary correspondence and outcomes will be kept on the employee's personnel file for the duration of the warning and for a reasonable period after that, in line with our data retention policy. Expired warnings will not normally be used in future proceedings.