Use this template to create a clear, fair disciplinary policy.

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Disciplinary Policy and Procedure

Policy Owner: [HR/Managing Director] Applies to: All employees Last Reviewed: [Date] Next Review: [Date]

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1. Purpose and Scope

1.1 Purpose

This policy sets out the Company's procedure for handling disciplinary matters fairly and consistently. It complies with the ACAS Code of Practice on Disciplinary and Grievance Procedures.

1.2 Scope

This policy applies to all employees. It does not apply to workers, contractors, or agency staff.

1.3 Non-Contractual

This policy is non-contractual and may be amended by the Company from time to time.

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2. Principles

The Company will:

• Handle disciplinary matters without unreasonable delay
• Investigate allegations before taking formal action
• Inform employees of the allegations against them in writing
• Give employees an opportunity to respond at a hearing
• Allow employees to be accompanied at formal hearings
• Make decisions based on evidence and the balance of probabilities
• Provide a right of appeal against formal disciplinary decisions

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3. Minor Issues - Informal Action

Minor issues of conduct or performance may be dealt with informally through management conversation. The purpose is to encourage improvement and prevent issues from escalating.

An informal warning is not a formal disciplinary sanction and does not form part of the disciplinary process.

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4. Misconduct

4.1 Examples of Misconduct

Misconduct includes but is not limited to:

• Poor timekeeping or unauthorised absence
• Minor breaches of Company policies
• Failure to follow reasonable instructions
• Careless mistakes or poor work quality
• Inappropriate behaviour towards colleagues
• Misuse of Company equipment or facilities

4.2 Examples of Gross Misconduct

Gross misconduct is misconduct so serious that it fundamentally undermines the employment relationship. Examples include but are not limited to:

• Theft, fraud, or dishonesty
• Physical violence or threatening behaviour
• Bullying, harassment, or discrimination
• Serious insubordination
• Breach of health and safety rules endangering others
• Serious breach of confidentiality
• Being under the influence of drugs or alcohol at work
• Deliberate damage to Company property
• Bringing the Company into serious disrepute
• Serious negligence causing unacceptable loss or damage

Gross misconduct may result in summary dismissal without notice.

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5. Investigation

5.1 Investigation Process

Before any disciplinary action is taken, the Company will investigate the alleged misconduct. This may include:

• Reviewing documents and records
• Interviewing witnesses
• Obtaining statements
• Gathering physical evidence

5.2 Investigation Meetings

The employee may be asked to attend an investigation meeting. This is not a disciplinary hearing and the employee does not have a statutory right to be accompanied at an investigation meeting.

5.3 Suspension

In serious cases, the Company may suspend the employee on full pay while the investigation takes place. Suspension is not a disciplinary sanction and does not imply guilt.

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6. The Disciplinary Hearing

6.1 Notification

If there is a case to answer, the employee will be invited to a disciplinary hearing in writing. The notification will include:

• The allegations in sufficient detail
• The date, time, and location of the hearing
• Who will be present
• The right to be accompanied
• Copies of any evidence to be relied upon
• Information about the possible outcomes

6.2 Timing

The employee will be given reasonable time to prepare for the hearing.

6.3 Right to be Accompanied

The employee may be accompanied at the hearing by:

• A work colleague, or
• A trade union representative

The companion may address the hearing, present the employee's case, and confer with the employee, but may not answer questions on the employee's behalf.

6.4 Hearing Procedure

At the hearing:

1. The allegations will be explained
2. The evidence will be presented
3. The employee will have the opportunity to respond
4. The employee may present their case, call witnesses, and ask questions
5. Both sides may sum up

6.5 Failure to Attend

If the employee fails to attend without good reason, the hearing may proceed in their absence.

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7. Disciplinary Sanctions

7.1 Available Sanctions

Depending on the seriousness of the misconduct, the following sanctions may be applied:

First Written Warning For misconduct where there is no current warning on file. Typically active for 6 months.

Final Written Warning For serious misconduct, or where there is a current warning on file. Typically active for 12 months.

Dismissal For gross misconduct, or where there is a final written warning and further misconduct occurs.

Other sanctions such as demotion, transfer, or loss of pay may also be appropriate in some circumstances.

7.2 Summary Dismissal

In cases of gross misconduct, the employee may be dismissed without notice (summary dismissal).

7.3 Confirmation

The outcome will be confirmed in writing, stating:

• The decision and reasons
• The sanction, if any
• The duration of any warning
• Required improvements
• Consequences of further misconduct
• Right of appeal

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8. Appeals

8.1 Right of Appeal

The employee has the right to appeal against any formal disciplinary sanction.

8.2 Appeal Process

Appeals must be submitted in writing within [5] working days of receiving the decision, stating the grounds of appeal.

An appeal hearing will be arranged, conducted by a manager not previously involved.

The outcome of the appeal will be confirmed in writing. The decision at appeal is final.

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9. Records

Records of disciplinary action will be kept confidentially on the employee's personnel file.

Spent warnings will be disregarded for future disciplinary purposes but retained for records.

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10. Related Policies

• Grievance Procedure
• Bullying and Harassment Policy
• IT and Communications Policy
• Health and Safety Policy

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Document Control

Version	Date	Author	Changes
1.0	[Date]	[Name]	Initial version

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Checklist for Managers

Step	Action
1	Investigate before deciding to take formal action
2	Consider suspension if serious and necessary
3	Write to employee with allegations and evidence
4	Give reasonable time to prepare
5	Hold hearing - allow right to be accompanied
6	Consider response before making decision
7	Confirm outcome in writing with appeal rights
8	Keep records