Example of a disciplinary procedure
1. Purpose of the procedure/Introduction
[Name of organisation]’s aim is to encourage improvement in individual
conduct and performance. This procedure sets out the action which will be
taken when the company rules are broken and provides a fair, effective and
consistent method of dealing with disciplinary matters.
The purpose should remind people that the procedure is designed not as a
dismissal procedure but as a means of encouraging employees to conform to
acceptable standards.
2. Principles
Employees are expected to know the standard of conduct or work
expected of them. (This should be laid out in the contract of
employment or the employee handbook).
Employees will be provided with details of the allegations and any
evidence in support of this prior to the meeting and they will be given
the opportunity to state their case
An employee is entitled to be accompanied by a trade union
representative or work colleague at the meeting
No employee will be dismissed for a first breach of discipline, except
in cases of gross misconduct
Employees have the right to appeal against any disciplinary action
taken
This section should include all the steps involved in the disciplinary
procedure. Employers often lose at Employment Tribunals because they did
not comply with the procedure – so always follow the procedure.
3. Informal discussions
Before taking formal disciplinary action, the[manager/supervisor] will make
every effort to resolve the matter by informal discussion with you. Only where
this fails to bring about the desired improvement should the formal
disciplinary procedure be implemented.
Make sure that employees and managers understand the difference between
routine admonishment and action taken under the procedure.
4. First or formal verbal warning
If conduct or performance is unsatisfactory, the employee will be given a
written warning or performance note. Such warnings will be recorded but
disregarded after [specify period of time eg. three months] of satisfactory
service, providing there have been no subsequent disciplinary issues.
It can be unfair to keep details of warnings on an employees file indefinitely.
5. Written warning
If the conduct is regarded as more serious or the employees work or conduct
are considered unsatisfactory after they have received a formal verbal
warning, a disciplinary meeting may be called.
After a period of [period of months eg. six] months, if no further disciplinary
action has been found necessary and the minor breach has been resolved, the
warning will expire.
[Outline the procedure for calling a disciplinary meeting]
6. Final written warning
If the employee’s work or conduct fails to improve, or where the allegation is
particularly serious, the manager will follow the same procedure for a written
warning. If proven, a final warning, will be given to the employee warning
that any further misconduct will result in a dismissal with appropriate notice.
Employees will be paid for this notice period.
After a period of [specify period of months eg. 12] months, if not further
disciplinary action has been found necessary and the issue has been resolved,
the warning will expire.
7. Gross misconduct
An employee can be dismissed without notice on grounds of gross
misconduct. The employee will be suspended with pay while the
circumstances of the alleged incident are investigated.
Make reference to contract of employment or employee handbook for what
constitutes gross misconduct.
A dismissal must be confirmed in writing within [specify period of time eg. 10
days] working days of the date of the disciplinary interview.
Where a member of staff is dismissed from the organisation or internally
disciplined because of misconduct relating to a child, we inform the
Department for Children, Schools and Families, other relevant agencies and
follow Local Safeguarding Children’s Board guidelines.
8. The right to appeal
If the employee wishes to appeal against any disciplinary decision, they must
appeal, in writing, within five working days of being notified of the decision.
