Disciplinary Procedure Template for England and Wales

A Disciplinary Procedure sets out the steps employers must take when dealing with employee misconduct or poor performance. It's a formal process that helps businesses handle workplace issues fairly and consistently, while following UK employment law requirements, particularly those set out in the ACAS Code of Practice.

The procedure typically outlines investigation methods, hearing formats, and possible sanctions - from verbal warnings through to dismissal. It protects both employers and staff by ensuring everyone knows what to expect when problems arise, helping companies avoid unfair dismissal claims at Employment Tribunals. Good procedures also include appeal rights and timeframes for each stage.

Start using a Disciplinary Procedure when employee conduct or performance issues arise that need formal handling. Common triggers include repeated lateness, misconduct, poor work quality, or breaches of company policies. The key is to begin the process early - as soon as informal conversations haven't resolved the problem.

Following your Disciplinary Procedure becomes crucial when documenting serious incidents, addressing persistent problems, or considering dismissal. It helps protect your organization from unfair dismissal claims by showing you've followed ACAS guidelines and given employees fair warning and chance to improve. Use it consistently for all staff to demonstrate fair treatment and maintain clear records.

• Disciplinary Action Form: The core document recording all details of misconduct and actions taken, essential for HR records
• Disciplinary Letter: Formal notification inviting employees to disciplinary hearings, outlining allegations and meeting details
• Warning Letter For Disciplinary Action: Documents formal warnings and required improvements, typically used for first or final warnings
• Disciplinary Appeal Letter: Used by employees to challenge disciplinary decisions, outlining grounds for appeal
• Disciplinary Suspension Letter: Confirms temporary suspension during investigations, stating terms and duration

• HR Managers: Lead the drafting and implementation of Disciplinary Procedures, ensure compliance with ACAS guidelines, and manage the overall process
• Line Managers: Handle initial disciplinary issues, conduct investigations, and lead formal meetings with staff members
• Employees: Must follow company policies and have rights under the procedure, including the right to be accompanied at hearings
• Trade Union Representatives: Often involved in procedure development and support members during disciplinary meetings
• Legal Teams: Review procedures to ensure compliance with employment law and assist with complex cases
• Employment Tribunals: May review how procedures were followed if cases reach legal proceedings

• Review ACAS Code: Download the latest ACAS Code of Practice to ensure your procedure aligns with current guidelines
• Gather Policies: Collect existing company policies, values, and behavioral standards that will need enforcement
• Map Process Steps: Outline investigation methods, hearing formats, and appeal procedures clearly
• Set Timeframes: Define reasonable notice periods, meeting schedules, and appeal deadlines
• Define Sanctions: List potential disciplinary actions from verbal warnings through to dismissal
• Check Templates: Our platform provides legally-verified templates for each stage of the disciplinary process
• Consult Stakeholders: Get input from HR, managers, and employee representatives before finalizing

• Purpose Statement: Clear explanation of the procedure's aims and scope within your organization
• Investigation Process: Steps for gathering evidence and documenting misconduct fairly
• Meeting Procedures: Right to be accompanied, notice periods, and meeting format details
• Disciplinary Actions: Progressive sanctions from verbal warnings through to dismissal
• Appeal Rights: Clear timeframes and process for challenging decisions
• Documentation Requirements: Record-keeping standards and data protection compliance
• Special Circumstances: Handling gross misconduct and suspension procedures
• Legal Compliance: Our templates ensure alignment with ACAS Code and employment law requirements

A Disciplinary Procedure is often confused with an Internal Investigation Procedure, but they serve distinct purposes in workplace governance. While both deal with workplace issues, their scope and application differ significantly.

• Purpose and Timing: Disciplinary Procedures outline the formal steps for addressing known misconduct, while Investigation Procedures establish how to gather facts and evidence before determining if disciplinary action is needed
• Legal Requirements: Disciplinary Procedures must follow ACAS guidelines and employment law standards, whereas Investigation Procedures focus on fact-finding methodology and fairness principles
• Outcome Focus: Disciplinary Procedures lead to specific sanctions or corrective actions, while Investigation Procedures aim to establish facts without presuming guilt
• Rights and Protections: Disciplinary Procedures include specific employee rights like appeals and representation, while Investigation Procedures emphasize confidentiality and impartial evidence gathering