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Example Disciplinary Procedure Template

This document outlines an example disciplinary procedure that aims to ensure fair treatment for all employees. It details a multi-step process for handling disciplinary issues, beginning with informal action or improvement notes and escalating to formal warnings, final written warnings, and potential dismissal for continued issues or gross misconduct. The procedure emphasizes investigating claims fully, notifying employees of meetings and evidence in advance, and employees' right to appeal disciplinary decisions.

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Pukazhendhi Boominathan
Copyright
© © All Rights Reserved
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Download as DOCX, PDF, TXT or read online on Scribd
97 views

Example Disciplinary Procedure Template

This document outlines an example disciplinary procedure that aims to ensure fair treatment for all employees. It details a multi-step process for handling disciplinary issues, beginning with informal action or improvement notes and escalating to formal warnings, final written warnings, and potential dismissal for continued issues or gross misconduct. The procedure emphasizes investigating claims fully, notifying employees of meetings and evidence in advance, and employees' right to appeal disciplinary decisions.

Uploaded by

Pukazhendhi Boominathan
Copyright
© © All Rights Reserved
Available Formats
Download as DOCX, PDF, TXT or read online on Scribd
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Example disciplinary procedure

We will use this procedure to help and encourage all employees to


achieve and maintain standards of conduct, attendance and job
performance.

The company rules (find these [for example on the intranet, displayed in
the office]) and this procedure apply to all employees. The aim is to
ensure consistent and fair treatment for all in the organisation.

A disciplinary process can be stressful for everyone involved. Different


people might respond differently to stressful situations. We understand
the prospect of disciplinary action might cause distress and affect your
mental health.

We will support you throughout to help avoid this happening to you.


Please talk to [named person or job title] about how we can support your
wellbeing.

[add any other support or signpost, for example any employee assistance
programme, mental health first aiders or staff networks you have]

Principles
We will consider informal action, where appropriate, to resolve problems.

We will not take disciplinary action against you until the case has been
fully investigated.

For formal action we will advise you of the nature of the complaint against
you and we will give you the opportunity to state your case before any
decision is made at a disciplinary meeting.

We will provide you, where appropriate, with written copies of evidence


and relevant witness statements before a disciplinary meeting.

You will not be dismissed for a first breach of discipline, except in the case
of gross misconduct, when the penalty is dismissal without notice and
without payment in lieu of notice.

You have the right to appeal against any disciplinary action.

The procedure may be used at any stage if your alleged misconduct needs
this.
Your right to be accompanied
You have a statutory right to be accompanied by a companion where a
disciplinary meeting could result in:

 a formal warning
 some other disciplinary action
 confirmation of a formal warning or other disciplinary action (for
example, at an appeal hearing)

The right is to be accompanied by:

 someone you work with


 a trade union representative who’s certified or trained in acting as
a companion
 an official employed by a trade union

You should tell us as soon as possible if you would like a companion and
who they will be so we can make arrangements in good time. 

If you need any reasonable adjustments, for example for a disability,


speak to [job title or name of person].

The procedure

First stage of formal procedure


This will normally be either:

● an improvement note for unsatisfactory performance if performance


does not meet acceptable standards. This will set out the
performance problem, the improvement that is required, the
timescale, any help that may be given and the right of appeal. We
will advise you that this is the first stage of the formal procedure.
We will keep a record of the improvement note for [number of
months], but it will then be considered spent – as long as you
achieve and maintain satisfactory performance

or

● a first warning for misconduct if conduct does not meet acceptable


standards. This will be in writing and set out the nature of the
misconduct, the change in behaviour required and the right of
appeal. The warning will also tell you that a final written warning
may be considered if there is no sustained satisfactory improvement
or change. We will keep a record of the warning, but it will be
disregarded for disciplinary purposes after [number of months]

Final written warning


We might give you a final written warning if:

 the offence is sufficiently serious


 there is further misconduct
 there is failure to improve performance while you're still under a
prior warning

This will confirm the full details of the complaint, the improvement re-
quired and the timescale. It will also warn that failure to improve may
lead to dismissal (or some other action short of dismissal) and will refer to
the right of appeal.

[job title of person who will keep records] will keep a copy of this written
warning but it will be disregarded for disciplinary purposes after [number
of months], as long as you achieve and maintain satisfactory conduct or
performance.

Dismissal or other action


If there is still further misconduct or failure to improve performance the
final step in the procedure may be dismissal or some other action short of
dismissal such as demotion or transfer (as allowed in the contract of em-
ployment). 

Dismissal decisions can only be taken by the appropriate senior manager.

You will be provided in writing with the:

 reasons for dismissal


 date your employment will end
 confirmation of all final payments you are owed, including holiday
pay and notice pay
 right of appeal

If an action short of dismissal has been decided on, you will:

 receive confirmation of the full details of the complaint


 be warned that dismissal could result if there is no satisfactory im-
provement
 be advised of the right of appeal

Your supervisor will keep a copy of the written warning but it will be dis-
regarded for disciplinary purposes after [number of months] as long as
you achieve and maintain satisfactory conduct or performance.

Gross misconduct
The following list provides some examples of offences which are normally
regarded as gross misconduct:

● theft or fraud
● physical violence
● bullying
● deliberate and serious damage to property
● serious misuse of an organisation’s property or name
● deliberately accessing internet sites containing pornographic,
offensive or obscene material
● serious insubordination
● discrimination, harassment or victimisation
● bringing the organisation into serious disrepute
● causing loss, damage or injury through serious negligence
● a serious breach of health and safety rules
● a serious breach of confidence

We might consider suspending you while carrying out a disciplinary in-


vestigation if there's a serious issue or situation. Suspension is when we
tell you to temporarily stop working. You would be on full pay throughout
any suspension period.

We will consider each situation carefully before deciding to suspend you.


Suspension will not be needed for most investigations. Suspension does
not mean you have done anything wrong and will not be used to discipline
you.

We understand being suspended might be stressful so we will:

 only suspend you if there's no other option


 support you throughout the suspension period, always considering
your mental health and wellbeing
Appeals
If you want to appeal against a disciplinary decision you must do so
within [number of days]. The senior manager will hear all appeals and
their decision is final. At the appeal any disciplinary penalty imposed will
be reviewed.

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