Disciplinary Procedure

This document is a disciplinary procedure (also known as a disciplinary policy) which may be used by an employer. The document is best suited for use where the employer is based in Great Britain (England, Wales or Scotland). This document can be used by any such employer to create a disciplinary procedure that they shall implement when engaging disciplinary action against employees and/or workers.

A disciplinary procedure is a formal course of action which specifies how an employer can deal with an employee's unacceptable, poor or improper conduct. The document will:

• explain the various stages of the disciplinary process;
• explain the possible disciplinary measures which may be taken; and
• inform employees and/or workers of their rights during the disciplinary process

It is important for an employer to specify in writing any and all disciplinary procedures which are applicable to employees and workers. It is a legal requirement to do so under the Employment Rights Act 1996. Where this information is not set out within a contract of employment or contract for work, the employer is allowed to refer the worker or employee to a separate document. This document may therefore be used to fulfil this purpose.

It should be noted that it is also a requirement for the employer to provide employees and workers with written details of all disciplinary rules which are applicable to them. These may either be included within the relevant contract of employment or contract for work or may be contained within a separate rulebook. As the rules will be industry/job specific, they are not included within this procedural document but are referred to so that the applicable staff member is aware of their relevance to the disciplinary process.

Given that the above requirements apply to both workers and employees, the employer will therefore need to consider making a policy for both groups of staff members. However, an employer will generally wish to create a separate policy document for the two types of staff members. This is because the two groups have different rights. Furthermore, there a worker may be able to argue they have the status of an employee where they are subject to the same policies and procedures as those who have employee status. More information about determining a person's employment status, and the different rights of workers and employees, may be found on the government website.

How to use this document

The document should be completed with the relevant information. The procedure will commence upon the selected start date. Although it is not a legal requirement, the employer may elect to sign the document and invite employees and/or workers to sign a copy too. It is a requirement that the disciplinary procedure remains reasonably accessible, together with the relevant codes of conduct and any rules, at all times.

This procedure should be followed by an employer where they wish to formally discipline an employee for their poor conduct or performance. When initiating a disciplinary process with an employee, an employer should make sure to follow the Acas Code of Practice on disciplinary and grievance procedures (Scotland, England and Wales).

The procedure should be read in conjunction with any other important policies which the employer may hold such as:

• a grievance procedure/policy
• an equality policy
• a privacy policy
• a social media policy
• a workplace domestic abuse policy
• a sickness/absence policy.

Relevant law

Employment Rights Act 1996

Employment Act 2008

Acas Code of Practice

Government Guidance of Disciplinary Action

Help from a lawyer

You can choose to consult a lawyer if you need help.

The lawyer can answer your questions or help you through the process. You will be offered this option when you complete the document.

How to modify the template

You fill out a form. The document is created before your eyes as you respond to the questions.

At the end, you receive it in Word and PDF formats. You can modify it and reuse it.