Disciplinary Policy & Procedure template

2. Principles

• We follow the ACAS Code of Practice on disciplinary and grievance procedures at every formal stage.
• No formal action is taken until the facts have been reasonably investigated.
• The employee is told the case against them in writing, with the evidence, before any hearing.
• Employees may be accompanied at any disciplinary hearing or appeal by a colleague or a trade union representative.
• No employee is dismissed for a first act of misconduct, except in cases of gross misconduct.
• Matters are handled promptly, consistently, and confidentially, and every stage is recorded.

3. Informal resolution

Most conduct issues should be resolved by a quiet, early conversation between the employee and their line manager, not by this procedure. The manager explains the concern, hears the employee's side, agrees what needs to change, and notes the conversation in [system/location]. An informal note is not a warning and does not sit on the disciplinary record.

Move to the formal procedure when informal action has not worked, or the alleged conduct is too serious for an informal conversation.

4. Investigation

1. 1Appoint an investigating officer ([name/role]) who will not chair any later hearing, wherever the size of the business allows.
2. 2Gather the relevant evidence promptly: statements from those involved, documents, rotas, CCTV, or system records.
3. 3Hold an investigatory meeting with the employee where their account is needed. Make clear it is not a disciplinary hearing.
4. 4Consider suspension on full pay only where there is a genuine risk to people, property, or the investigation itself. Suspension is a neutral act, not a sanction, and should be as brief as possible.
5. 5Decide whether there is a case to answer. If not, tell the employee and close the matter. If so, arrange a hearing.

5. The disciplinary hearing

1. 1Write to the employee setting out the allegation, the possible outcome, the evidence relied on, the hearing arrangements, and the right to be accompanied. Allow [number] working days to prepare.
2. 2Hold the hearing without unreasonable delay, chaired by [role — a manager not involved in the investigation, wherever possible].
3. 3Explain the allegation, go through the evidence, and give the employee a full opportunity to respond, present their own evidence, and answer questions.
4. 4Adjourn before deciding. Never announce an outcome in the meeting itself.
5. 5Confirm the decision in writing within [number] working days, including the reason, any sanction and how long it stays live, what improvement is required, and how to appeal.

6. Disciplinary outcomes

Depending on the seriousness of the conduct and any live warnings, the outcome of a hearing may be:

• No action — the allegation is not upheld and nothing is placed on the employee's file.
• First written warning — normally live for [number, e.g. 6] months.
• Final written warning — normally live for [number, e.g. 12] months, for serious misconduct or further misconduct during a live warning.
• Dismissal with notice, or another sanction permitted by contract such as demotion or transfer, normally where a final written warning is already live.
• Summary dismissal without notice for gross misconduct. Examples at {{org.name}} include theft, violence, fraud, harassment, serious breach of health and safety rules, and working while unfit through alcohol or drugs. [Adapt this list to your operation.]

7. Appeals

An employee may appeal against any formal sanction by writing to [name/role] within [number, e.g. 5] working days of the decision letter, stating their grounds. The appeal is heard without unreasonable delay by someone senior to, and where possible not previously involved in, the original decision — in a small business this may be [the owner/managing director].

The appeal manager may confirm, reduce, or overturn the sanction. The outcome is confirmed in writing and is final. An appeal never results in a heavier sanction.

8. Records and review

Investigation notes, hearing packs, decision letters, and appeal outcomes are stored confidentially in [system/location], separate from the general personnel file, and retained in line with our data retention policy. Expired warnings are disregarded for future disciplinary purposes.

This policy is reviewed [frequency, e.g. annually] and after any case that exposes a gap. Owner: [name/role]. Next review due: [date].