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Use this model disciplinary policy to help and encourage employees to improve, achieve and maintain standards of conduct, attendance and job performance.
1 Overview
1.1 The aim of the Disciplinary Policy is to help and encourage employees to improve, achieve and maintain standards of conduct, attendance and job performance.
1.2 It also enables management to deal effectively with those employees who do not comply with the Company standards of conduct, attendance and performance in the workplace.
1.3 Equally, the policy and procedure are designed in a manner which is non-discriminatory and which is fair, consistent and effective. It must also be applied in a timely manner and without undue delay.
2 Scope
2.1 This policy is applicable to all employees of [company name].
3 General principles
3.1 All Managers have a responsibility for ensuring that employees are made aware of the Disciplinary Policy. All employees are to be informed of the standards of conduct and work performance expected of them and Managers should ensure that these standards are fully understood by those who work to them. Action taken under this policy must reflect fully the process detailed in the Procedural Appendix attached to this policy.
3.2 Matters relating to or arising under the Disciplinary Policy must be treated as confidential at all times. Failure to do so may itself constitute grounds for initiating disciplinary action.
4 Procedure
4.1 At each stage of this procedure, the employee has a right to be accompanied by an accredited Trade Union representative or work colleague. The employee will also be informed in writing of:
The nature of the complaint or allegation against them; and
The stage at which the matter is being considered.
4.2 The employee will also be reminded that they will be given a full opportunity to state their case and if action is taken, what improvement is required. They will also be reminded of their right of appeal.
4.3 Managers whose responsibilities require them to participate in or hold disciplinary meetings will be given appropriate training to enable them to undertake their role effectively and dispassionately.
Employees should make every effort to attend meetings or interviews relating to the application of the Disciplinary Procedure. If an individual is unable to attend, they will need to give notice and the reasons why they are unable to attend. The meeting will then be re-scheduled to a mutually convenient time. Unless the reasons are exceptional,
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A disciplinary policy provides a clear framework for managing concerns about employee conduct, behaviour and performance where formal action may be appropriate. It helps ensure that disciplinary matters are handled fairly, consistently and proportionately, while giving employees an opportunity to understand the concerns raised and respond before a decision is made.
A well-designed disciplinary policy sets out the organisation's expectations of employee conduct and explains how potential breaches will be addressed. It provides managers with a structured process for dealing with concerns, from the initial investigation through to formal disciplinary action and, where appropriate, an appeal.
A disciplinary policy will typically cover:
The purpose of disciplinary action is not simply to punish an employee. A fair process allows the employer to establish the facts, understand the employee's explanation and determine an appropriate response to the circumstances. Depending on the nature of the issue, this may include informal action, a formal warning or more serious disciplinary action.
Disciplinary matters should be handled consistently while recognising that every case must be considered on its individual circumstances. Applying the same principles and standards helps managers make proportionate decisions, reduces the risk of unfair treatment and gives employees confidence that concerns will be addressed fairly.
The policy provides guidance for managers responsible for dealing with conduct concerns and information for employees about how the organisation's disciplinary process works. Managers should understand the policy before taking formal action and seek appropriate HR advice where the circumstances are complex or potentially serious.
Tip: A disciplinary policy should provide a framework rather than remove managerial judgement. The seriousness of an allegation, the available evidence, the employee's explanation, previous relevant conduct and any mitigating circumstances should all be considered before deciding what action, if any, is appropriate.
A disciplinary policy should support a fair, reasonable and consistent process and should be applied alongside the organisation's contractual arrangements and other relevant policies. Employers should consider the Acas Code of Practice on Disciplinary and Grievance Procedures and the circumstances of each individual case rather than treating the policy as a rigid set of rules.
The Acas Code provides a framework for handling disciplinary situations fairly. Key principles include investigating the issue, informing the employee of the concerns, giving them an opportunity to respond before a decision is made and providing an appropriate right of appeal.
Employers should ensure that disciplinary concerns are investigated appropriately and that employees are given sufficient information about the allegations or concerns they are being asked to answer. The person making the decision should consider the evidence and the employee's response before determining what action, if any, is appropriate.
Any disciplinary sanction should be proportionate to the circumstances and consistent with the organisation's policy. Employers should consider the seriousness of the conduct, the employee's previous relevant record, the evidence available and any mitigating circumstances before deciding on an appropriate outcome.
The Equality Act 2010 protects employees from discrimination and requires employers to consider whether a disciplinary decision or the way a procedure is applied could disadvantage an employee because of a protected characteristic. Reasonable adjustments may also be required for disabled employees during the disciplinary process.
Employees have a statutory right to be accompanied at a disciplinary hearing where the employer is contemplating taking formal disciplinary action. The companion may be a fellow worker or an appropriate trade union representative, subject to the statutory provisions.
Where formal disciplinary action is taken, employees should normally be given an appropriate opportunity to appeal the decision. Where dismissal is being considered, employers should take particular care to ensure that the process is fair, the allegations have been properly investigated and the decision is supported by the evidence and the circumstances of the case.
Employers should ensure that the disciplinary policy is consistent with their contracts of employment, employee handbook and other relevant workplace policies. Managers should also obtain appropriate HR advice where allegations involve potential gross misconduct, dismissal, discrimination or other significant legal or employee relations risks.
Important: A disciplinary policy provides a framework for managing conduct concerns but does not, by itself, make a disciplinary process fair or legally compliant. The policy should be applied reasonably and consistently, with the circumstances and evidence of each individual case taken into account.
Yes. This template has been designed for organisations of all sizes, including small businesses, charities and growing employers. It follows UK employment law best practice and can be adapted to suit your organisation.
Our templates are developed with UK employment legislation, Acas guidance and HR best practice in mind and are reviewed and updated as relevant requirements change. However, every employment situation is different, so the template should be adapted to the circumstances and checked against the employee's contract and your organisation's procedures before use.
Yes, we highlight the areas of the document that you need to update with your own details, and where you need to make decisions to suit your situation. This saves you time and ensures that you meet best practice.
Yes. Once purchased, you'll be able to download it instantly. Templates are provided in editable format (such as .doc or .xls) so you can customise them easily, and in PDF format for easy sharing.
If you're looking for broader support, we also offer toolkits and library bundles that include the Disciplinary policy template, along with other HR templates and policies for fully managing your situation. These may be more cost-effective if you need deeper advice.
AI can produce a document quickly, but effective HR documentation needs to be more than well-written words. It needs to reflect relevant UK employment law, HR best practice, practical considerations and the circumstances in which it will be used. These resources have been professionally developed around that wider HR context, drawing on extensive practical experience, rather than simply generating a generic document from a prompt.
Darryl Horn, Chartered HR Director
Darryl is a Chartered HR professional with over 25 years' experience in senior HR and employee relations roles.
He has extensive practical experience of managing conduct processes and founded hrdocbox to provide businesses with practical, professionally developed HR resources grounded in UK employment law and best practice.
"Darryl provides support and advice with excellent judgement, and has a strong understanding of people, policies and UK employment legislation."
"He is someone I trust; consistent, dependable, and committed to doing things properly."
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