A disciplinary policy template is a structured framework that defines how your organisation handles allegations of misconduct and poor performance — from initial concern through investigation, hearing, decision, and appeal — in a way that is fair, consistent, and legally compliant. The disciplinary process is one of the most legally sensitive areas of HR practice. Get it wrong and you face Employment Tribunal claims for unfair dismissal, discrimination, or breach of the ACAS Code of Practice — which can increase compensation by up to 25%.
This guide provides a section-by-section template that complies with the ACAS Code of Practice, covers every stage of the process, and includes the specific provisions that protect both the employer and the employee.
Key takeaways
- A compliant disciplinary policy must follow the ACAS Code of Practice — failure to do so can increase Tribunal compensation by up to 25%.
- The policy must distinguish between misconduct (minor breaches) and gross misconduct (serious breaches warranting summary dismissal).
- Every stage — investigation, hearing, decision, appeal — must follow a defined process with clear timelines.
- The employee has the right to be accompanied at every formal meeting by a trade union representative or colleague.
- Documentation is essential — every step, decision, and communication must be recorded.
Section 1: Purpose and scope
Template language:
This policy sets out [Company Name]’s approach to discipline at work. It applies to all employees and is designed to ensure that any allegations of misconduct or poor performance are handled fairly, consistently, and in accordance with the ACAS Code of Practice on Disciplinary and Grievance Procedures.
This policy is not intended to punish employees. It aims to address problems through fair investigation, open discussion, and corrective action.
Section 2: Principles
Set the tone at the top. Disciplinary action is about fairness, not retribution.
Template language:
The disciplinary process is governed by the following principles:
- No employee will be disciplined without a fair investigation
- The employee will be informed of the allegations and given an opportunity to respond
- Disciplinary decisions will be based on evidence, not assumptions
- Employees have the right to be accompanied at all formal meetings
- Disciplinary action will be proportionate to the issue
- Employees have the right to appeal any disciplinary decision
- All disciplinary matters will be handled confidentially
Section 3: Types of misconduct
Define what constitutes misconduct and distinguish between minor and gross misconduct.
Minor misconduct
Examples:
- Persistent lateness or early departure
- Minor breaches of company policy
- Unauthorised use of company resources
- Failure to follow reasonable management instructions
- Poor timekeeping
- Minor misuse of IT equipment
Gross misconduct
Examples:
- Theft, fraud, or dishonesty
- Physical violence or threats of violence
- Bullying, harassment, or discrimination
- Serious breach of health and safety rules
- Serious breach of confidentiality
- Being under the influence of drugs or alcohol at work
- Gross negligence causing significant harm
- Serious damage to company property
- Serious breach of IT security policies
- Criminal activity in connection with employment
Important: This list is illustrative, not exhaustive. The employer retains the right to treat other conduct as gross misconduct where the circumstances warrant it.
Section 4: Informal action
Not every issue requires a formal process. Start informally where appropriate.
Template language:
Where a conduct or performance issue is minor or isolated, the manager may address it informally through a conversation with the employee. The conversation should:
- Identify the issue clearly
- Explain the expected standard
- Offer support or training if needed
- Be recorded in the manager’s notes
Informal action does not trigger the formal disciplinary process but creates a record that can be referenced if the issue recurs.
Section 5: Formal disciplinary process
Stage 1: Investigation
Template language:
Where an allegation of misconduct is made, a thorough investigation will be conducted before any disciplinary hearing. The investigation:
- Will be carried out by a manager not involved in the original incident
- Will gather evidence (documents, witness statements, CCTV, emails)
- Will give the employee the opportunity to provide their account
- Will be completed within [X] working days where practicable
- Will result in a written investigation report
The investigation is a fact-finding exercise. The investigator does not make disciplinary decisions.
Stage 2: Disciplinary hearing
Template language:
If the investigation report establishes a case to answer, the employee will be invited to a formal disciplinary hearing. The employee will receive:
- Written notice of the hearing at least [5] working days in advance
- A copy of the investigation report and all evidence
- The allegations in writing, with specific details
- Notification of their right to be accompanied by a trade union representative or colleague
At the hearing:
- The manager will present the allegations and evidence
- The employee will have the opportunity to respond, ask questions, and present their case
- The employee may call witnesses
- A record of the hearing will be taken
Stage 3: Decision
Template language:
After the hearing, the decision-maker will:
- Consider all the evidence and the employee’s response
- Decide on the balance of probabilities whether the allegation is proved
- If proved, determine the appropriate sanction
- Communicate the decision in writing within [5] working days of the hearing
Possible outcomes:
- No action
- Verbal warning
- Written warning (first or final)
- Final written warning
- Dismissal
- Demotion or transfer (in serious cases)
The decision letter will include:
- The finding and the evidence relied upon
- The sanction and the reasons for it
- The duration of any warning
- The right to appeal and the deadline for appeal
Stage 4: Appeal
Template language:
The employee may appeal any disciplinary decision within [5] working days of receiving the decision letter. The appeal:
- Is heard by a manager more senior than the original decision-maker
- May be a review of the original decision or a fresh hearing
- The employee may be accompanied
- The appeal decision is communicated in writing within [5] working days
The appeal decision is final.
Section 6: Gross misconduct and summary dismissal
Template language:
In cases of gross misconduct, the employer may summarily dismiss the employee without prior warnings. However, the employee is still entitled to:
- Written notice of the allegation
- An investigation
- A disciplinary hearing
- The right to be accompanied
- The right to appeal
Summary dismissal does not mean immediate termination without process. It means termination without the need for prior warnings.
Section 7: Suspension
Template language:
Where necessary, the employee may be suspended from work pending investigation or a disciplinary hearing. Suspension:
- Is a precautionary measure, not a disciplinary sanction
- Will be for the shortest period necessary
- The employee will continue to receive full pay during suspension
- The employee must not contact colleagues, clients, or suppliers during suspension without permission
- HR will review the need for continued suspension at regular intervals
Section 8: Record-keeping
Template language:
All records relating to disciplinary matters are kept confidentially by HR. Records include investigation reports, hearing notes, decision letters, and appeal outcomes. Disciplinary records are retained for [6] years from the date of the decision or the expiry of the warning, whichever is later.
Section 9: Policy governance
Template language:
This policy is owned by [Head of People / HR Director] and reviewed annually. The policy is based on the ACAS Code of Practice on Disciplinary and Grievance Procedures (current edition). Any material changes to the ACAS Code will trigger an immediate review.
Putting it into practice
Five checks to ensure your disciplinary process is compliant:
- The investigation is completed before any disciplinary hearing takes place.
- The employee receives written notice of allegations and the right to be accompanied.
- Every stage is documented, including hearing notes, evidence considered, and the decision.
- The right to appeal is offered at every stage where a formal warning is issued.
- The ACAS Code of Practice is followed — failure to do so increases Tribunal compensation by up to 25%.
Leave Balance stores disciplinary records alongside employee absence and performance data — so HR has a complete picture when making decisions and can demonstrate a consistent, evidence-based approach to every case.
Frequently asked questions
What is the ACAS Code of Practice?
The ACAS Code of Practice on Disciplinary and Grievance Procedures is the standard that UK employers are expected to follow when handling disciplinary and grievance matters. Employment Tribunals can increase compensation by up to 25% if an employer has failed to follow the Code without reasonable excuse.
Can I dismiss an employee for a first offence?
Yes, for gross misconduct. However, you must still follow a fair process: investigation, hearing, right to be accompanied, and right to appeal. Even for gross misconduct, dismissing without any process is almost always found to be unfair by a Tribunal.
How long do disciplinary warnings last?
Typically: verbal warning — 6 months; first written warning — 12 months; final written warning — 12-24 months. The duration should be specified in the decision letter and the policy. After the expiry period, the warning should be removed from the employee’s record.
Can an employee be accompanied by a family member?
Under the ACAS Code, the employee may be accompanied by a trade union representative or a fellow worker. Family members are not covered by the statutory right to be accompanied, though some employers allow it as a matter of discretion.
What if the employee refuses to attend a disciplinary hearing?
If the employee refuses to attend without a valid reason (e.g., illness), the employer may proceed in their absence after making reasonable efforts to reschedule. Any decision made in the employee’s absence must still be based on the available evidence and the employee must be given the opportunity to appeal.
This article is general information, not legal advice. Consult qualified employment counsel for jurisdiction-specific guidance.