Employee Disciplinary Policy Template (UK)

Employee Disciplinary Policy Template (UK)

Manage employee conduct lawfully, consistently, and with procedural confidence using our Employee Disciplinary Policy Template (UK). This UK employee disciplinary policy template sets out a clear, structured approach to handling misconduct, performance concerns, and breaches of workplace rules while maintaining fairness and transparency throughout the disciplinary process.

Designed for UK employers, HR teams, managers, and legal advisers, this template reflects statutory requirements under the Employment Rights Act 1996 and follows the principles set out in the ACAS Code of Practice on Disciplinary and Grievance Procedures. It supports defensible decision-making and helps reduce the risk of employment tribunal claims.

Purpose of This Disciplinary Policy

The purpose of this employee disciplinary policy is to:

• Provide a consistent framework for managing employee misconduct

• Ensure disciplinary action is proportionate, fair, and evidence-based

• Confirm employees understand expected standards of conduct

• Support lawful dismissal decisions where necessary

• Demonstrate procedural fairness in line with UK employment law

This UK employee disciplinary policy template is intended to form part of an organisation’s wider employment handbook or HR governance framework.

Why Use This Employee Disciplinary Policy Template?

Consistency Across the Organisation
Ensures disciplinary matters are handled uniformly, regardless of department or manager.

Procedural Fairness
Sets out investigation, hearing, decision, and appeal stages clearly, reducing procedural errors.

Legal Risk Reduction
Helps employers demonstrate compliance with statutory duties and ACAS guidance in tribunal proceedings.

Managerial Confidence
Provides managers with a step-by-step process, reducing uncertainty when handling difficult situations.

Professional Drafting
Written in solicitor-style language suitable for internal HR use and external legal scrutiny.

Who This Template Is Designed For

• Employers operating in the UK

• HR managers and HR teams

• Line managers conducting disciplinary investigations or hearings

• Company directors responsible for governance and compliance

• Legal advisers reviewing or implementing HR policies

• SMEs seeking legally robust documentation without bespoke drafting

Scope and Application

This employee disciplinary policy applies to all employees, regardless of seniority, role, or length of service. It covers conduct occurring:

• During working hours

• On company premises

• While working remotely

• At work-related events

• Where conduct outside work impacts the employment relationship

Key Features of the Template

• Clear distinction between informal and formal disciplinary action

• Definitions of misconduct and gross misconduct

• Investigation procedures and evidential standards

• Employee rights during disciplinary proceedings

• Disciplinary hearing procedures

• Sanctions and warning levels

• Right of appeal and appeal handling

• Record-keeping and confidentiality guidance

Misconduct and Gross Misconduct

The template provides structured guidance on:

• Minor misconduct (e.g. lateness, failure to follow procedures)

• Serious misconduct (e.g. insubordination, repeated breaches)

• Gross misconduct (e.g. dishonesty, serious negligence, harassment)

This clarity supports proportionate responses and reduces the risk of disproportionate sanctions.

Disciplinary Procedure Explained

1. Investigation

Employers are required to investigate allegations fairly and without unreasonable delay. This includes gathering evidence, interviewing relevant parties, and maintaining confidentiality.

2. Notification

Employees must be informed in writing of the allegations, potential consequences, and the disciplinary hearing details.

3. Disciplinary Hearing

The employee is given an opportunity to respond, present evidence, and be accompanied where applicable.

4. Decision Making

Decisions must be based on evidence, proportionality, and consistency with previous cases.

5. Outcome

Outcomes are confirmed in writing, including any warnings, sanctions, or dismissal decisions.

6. Appeal

Employees are offered a right of appeal, ensuring procedural fairness and internal review.

This UK employee disciplinary policy template reflects best practice at each stage.

Practical Use Cases

• An employer investigates repeated lateness before issuing a first written warning

• A line manager follows a structured process before escalating misconduct

• HR teams rely on documented procedures during tribunal claims

• SMEs implement formal processes for the first time

• Legal advisers assess disciplinary fairness prior to dismissal

Risks of Not Having a Disciplinary Policy

Without a properly drafted disciplinary policy, employers face:

• Increased risk of unfair dismissal claims

• Higher tribunal awards for failure to follow ACAS guidance

• Inconsistent treatment of employees

• Procedural errors undermining dismissal decisions

• Reputational and financial exposure

FAQs

What is a disciplinary policy?
A disciplinary policy sets out how an employer will manage employee misconduct fairly and lawfully.

Is a disciplinary policy legally required in the UK?
While not mandatory, failure to follow a fair procedure significantly increases legal risk.

Does this template follow ACAS guidance?
Yes. It aligns with the principles of the ACAS Code of Practice.

Can this policy be used by small businesses?
Yes. It is suitable for SMEs and scalable for larger organisations.

Does it cover dismissal?
Yes. It provides guidance on dismissal following a fair disciplinary process.

Can this policy be challenged at tribunal?
Any policy can be scrutinised, but following this template helps demonstrate procedural fairness.

Should employees receive a copy?
Yes. Transparency supports fairness and reduces disputes.

Is this template suitable for remote workers?
Yes. It applies to all working arrangements.

For a bespoke version of this document ask for a free quote