Disciplinary Policy: What to Include

Following fair and lawful disciplinary procedures is vital to ensure disciplinary issues are dealt with properly. If you get this wrong, you may face tribunal claims.

Fundamental to any fair and compliant disciplinary procedure is the disciplinary policy. This should act as the formal reference point to ensure employees are aware of the conduct standards they have to meet, and what happens if it is alleged they have breached these. It should also explain how disciplinary matters are handled to ensure consistent and lawful practices.

In this guide, we discuss the role of the disciplinary policy and highlight the key areas to include.

 

The role of the disciplinary policy

 

The ACAS Code of Practice 1 Disciplinary and Grievance Procedures sets out guidance on how disciplinary and grievance situations should be dealt with. Employers will still need to have their own procedure and policy in place, which should follow the principles contained in the Code of Practice (CoP). An unreasonable failure to follow the CoP can lead to tribunal awards being adjusted by up to 25 percent.

A workplace disciplinary policy provides employees with clear guidelines for expected conduct and what consequences they can expect if the rules are broken. Issue relating to performance and capability should be dealt with under a separate policy.

A disciplinary policy also:

 

• Protects you and your company from allegations of unfair dismissal
• Ensures equal treatment of all employees if rules are not being followed
• Outlines how employees can report grievances or incidents
• Establishes a procedure for what is done in the event of rule-breaking
• Identifies nonproductive or disruptive workers
• Improves employee performance by identifying poor behaviors

 

Include the disciplinary policy in your employee handbook or intranet pages and make it easily accessible. You might also consider making the reading mandatory or asking the managers to discuss the policy with their team members.

As part of the Statement of Particulars, a company’s disciplinary & grievance procedures should be provided to staff within two months of them commencing employment.

 

What to include in a disciplinary policy

 

Your disciplinary action policy should include the following:

 

Policy overview

This section introduced and outlines the steps that will be taken to address employee misconduct.

 

Explanation of what behaviour constitutes misconduct

Many behaviours can warrant disciplinary action, which is why you should give examples of unacceptable behaviour to help avoid any confusion. Behaviour that may typically warrant disciplinary action at work can include:

 

• Failure to perform their job function
• Misconduct
• Harassment or violence towards co-workers
• Illegal behaviour
• Dress code violations
• Inappropriate behavior with co-workers or customers
• Attendance issues
• Dishonesty
• Discrimination

 

Explanation of what behaviour constitutes gross misconduct

Employees may be dismissed for a first incident of misconduct if they’ve committed an act of gross misconduct. In these circumstances, they could be summarily dismissed without notice or a pay-in-lieu of notice. It is advisable to give examples of the type of behaviour or incidents that could be classed as gross misconduct, stating also that any such list is non-exhaustive and that all cases will be investigated and considered on an individual basis.

 

• Theft, falsification, fraud or dishonesty
• Physical violence or bullying
• Deliberate and serious damage to property
• Serious misuse of the organisation’s property or name
• Deliberately accessing internet sites containing pornographic, offensive or obscene material
• Unlawful discrimination or harassment
• Conduct that has the potential to bring the organisation into disrepute
• Use of or possession of illegal substances, or incapacity due to alcohol or drugs at work
• Failure to disclose an unspent criminal conviction during recruitment, or a criminal conviction during employment relevant to your role
• Serious negligence
• A serious breach of health and safety rules
• A serious breach of confidence
• Unauthorised absence – see the Unauthorised Absence/AWOL Policy
• Applying unauthorised discounts
• Covert Recording
• Private trading in competition with the employer
• A serious failure to follow a reasonable request
• A serious or persistent breach of the Smoke-Free Policy
• A serious breach of an organisational policy or process

 

Type of disciplinary action and the steps that will be taken

In this section, your policy should state each step that will be taken to address an issue and the form, or forms, of discipline that will be administered. Clearly state what each step will include and the reasons that will constitute moving the issue to the next step. This section should also explicitly state what the requirements are for managers, such as documenting each step of the process and keeping employees fully informed.

Progressive discipline is the most traditional form of workplace discipline. The severity of the corrective action is raised if an employee fails to correct the issue. It is a popular approach because it helps shield employers from legal action from the employee. However, this approach may not work for every employee. Rather than increase the severity of successive disciplinary actions, perhaps you may want to provide additional training or rehabilitative elements to improve the situation. The steps of a progressive discipline policy are as follows:

 

A verbal warning

A firm and clear verbal warning should be given when an employee first breaks a rule. Explain why the behavior was wrong and express an expectation that the behavior does not occur again.

 

A written warning

A written reprimand or warning is more detailed. It describes what the issue is, how the employee is expected to change their behavior to fix the problem and the consequences that will occur if they do not. The warning should be signed by their manager, a witness, and the employee and stored in the employee’s file. You can issue multiple written warnings before progressing to the next step of the disciplinary process.

 

A final warning

This warning should state all the times the employee was warned and the corrective action that was, or was not, done to improve the behavior. It should clearly state that termination follows if there is no improvement.

 

Suspension/probation

A disciplinary suspension or probation is the final step before termination. It provides the employee with one last chance to improve their behavior. You can choose to implement check-ins or measurable goals at this point, reduce the employee’s pay, or enact closer supervision.

 

Termination

This step is taken when all others have been exhausted. Here, you have a face-to-face meeting with the employee and review all applicable documentation of the issue, including all warnings, training documents, and notes and explain that the issue has not been fixed, and, therefore, the employee is being terminated.

 

Explanation of the steps in the disciplinary process

Include detailed descriptions of each step and what the employee can expect, as well as circumstances that will not follow the steps in chronological order. For example, punctuality issues may begin at step one, which involves the manager giving the employee a verbal warning, while major offences will begin at step three.

 

Appeals process

Your policy should include a statement that any employee who believes they were not treated fairly or properly can appeal disciplinary decisions to the appropriate party, such as HR. Outline the steps on how employees can appeal a decision.

 

Additional considerations

 

Medical conditions

If there are medical or disability issues that may potentially be relevant to the issue, the employee should make their employer aware of this and the employer should be set up to deal with such information, such as referring the individual to Occupational Health.

 

Criminal matters

State what your approach is to cases where there may be criminal elements. For example, if you suspect an issue might be a criminal matter, that you may report it to the police or to the relevant external industry regulator. Also provide guidance to managers and HR on what to do if they suspect criminal activity might be involved. Also refer to how you can approach a disciplinary matter that is subject to criminal proceedings, for example that you would not generally await the outcome of any criminal prosecution and that your internal disciplinary procedure will still continue based on the evidence available so as to deal with the matter as soon as possible.

 

Confidentiality

State that all disciplinary matters will be deal sensitively and with respect for the privacy of all parties involved. Likewise, any information given to an individual in connection with an investigation or disciplinary matter must be treated as confidential.

 

Grievances during disciplinary proceedings

State your approach how a grievances are handled if raised during a disciplinary process and the two matters are connected, for example, that you may either deal with the grievance during the disciplinary procedure or pause the disciplinary while the grievance is dealt with.

 

How to develop a disciplinary policy

 

When writing a disciplinary policy, employers need to ensure:

 

• they follow the principles set down by the ACAS CoP;
• these are clear & unambiguous;
• set reasonable standards that will be consistent across the workforce, and not discriminate against any group or type of employees;
• promote high standards among your employees, without setting the bar so high as too be unachievable;
• encourage confidence that you will treat grievances with the seriousness the employee is treating the issue;
• protect against legal action where the policy is followed;
• promote high standards among your employees, without setting the bar so high as too be unachievable;
• define types of behaviour that will be met with disciplinary action, but not be definitive – employees always have ways of surprising with their behaviour.

 

Before you begin drafting your company’s disciplinary action policy, decide on the goal you want to accomplish with the policy. Do you want to take a punitive or rehabilitative approach? How can you make the rules and consequences as clear as possible to your workers? Once you have your answers to these questions, there are six steps to drafting a disciplinary action policy:

 

• Consult with HR. If you have a human resources department, they can be a valuable resource in helping you develop a comprehensive policy. HR can also assist in collecting documentation and handling any appeals. If you do not have an in-house HR staff, you can use performance management software, which is a budget-friendly option that helps document employee behavior and manages employee reviews.
• Consult a lawyer. Ask a lawyer to review or help draft your disciplinary policy to ensure you’re not leaving anything important out that could have negative legal consequences for your company in the future.
• Include all company policies and rules. This is not the place to be brief – include all of your policies and rules so it is clear to employees what is expected of them. Describe each rule in as much detail as possible so there is little room for interpretation.
• Describe the method and steps of discipline. Again, include as much detail as you can as to what steps will be taken during discipline and what types of infractions apply to which step of the disciplinary process.
• Include a process for documentation. Describe how the disciplinary process will be documented at every stage and include expectations for both managers and employees.
• Describe the process of termination. If a disciplinary process results in termination, it should be made clear in the policy how the termination will be enacted and what the employee can expect. Include what will happen during and after the termination, such as returning company property, closing out accounts, etc.

 

Need Assistance?

 

For expert advice, contact our HR and employment law specialists.

 

Disciplinary Policy FAQs

 

What should a disciplinary policy include?

A disciplinary policy should clearly outline the expectations for employee conduct, the procedures for addressing misconduct, and the potential consequences for breaching the policy. It should also detail the rights of the employee, including the right to representation, and the process for appealing decisions.

 

Is it a legal requirement to have a disciplinary policy?

While it is not a legal requirement to have a written disciplinary policy, it is strongly recommended to ensure fairness and consistency in managing employee behaviour, and to comply with the ACAS Code of Practice. Failure to comply with the ACAS guidance can lead to increased compensation awards in employment tribunals.

 

Can an employee be dismissed without a warning?

In most cases, dismissal without prior warning is considered unfair. However, in instances of gross misconduct, such as theft or violence, immediate dismissal may be justified. Even in such cases, a fair procedure, including an investigation and hearing, should be followed.

 

How often should a disciplinary policy be reviewed?

A disciplinary policy should be reviewed regularly, ideally annually, to ensure it remains up to date with current laws and best practices. It should also be reviewed whenever there are significant changes in employment law or the organisation’s operational needs.

 

What is the role of ACAS in disciplinary matters?

ACAS provides guidance on handling disciplinary issues fairly and legally. Employers are encouraged to follow the ACAS Code of Practice, which sets out the principles for disciplinary procedures. Adherence to this code can help employers avoid disputes and potential tribunal claims.

 

Can an employee appeal a disciplinary decision?

Employees have the right to appeal against any disciplinary decision. The appeal process should be clearly outlined in the disciplinary policy, and the appeal should be handled by someone not previously involved in the case to ensure impartiality.

 

What should be done if an employee raises a grievance during a disciplinary process?

If an employee raises a grievance during a disciplinary process, it may be necessary to pause the disciplinary procedure and address the grievance first. Depending on the nature of the grievance, it could impact the disciplinary proceedings, particularly if the grievance is related to the disciplinary issue itself.

 

How should misconduct be investigated?

Misconduct should be investigated thoroughly and impartially. This involves gathering evidence, interviewing witnesses, and giving the employee an opportunity to explain their side of the story. The findings of the investigation should form the basis for any subsequent disciplinary action.

 

Glossary

 

 

Term	Definition
ACAS	Advisory, Conciliation and Arbitration Service; a UK body providing advice and guidance on employment law and workplace issues.
Appeal	The process by which an employee can challenge a disciplinary decision, usually heard by a different manager or panel.
Code of Practice	Guidelines provided by ACAS outlining best practices for handling disciplinary and grievance procedures.
Disciplinary Hearing	A formal meeting where an employee is given the opportunity to respond to allegations of misconduct before a decision is made.
Disciplinary Policy	A set of rules and procedures established by an employer to manage employee behaviour and handle misconduct.
Employment Rights Act 1996	A UK law that outlines the rights of employees, including procedures for disciplinary actions and dismissals.
Gross Misconduct	Serious wrongdoing by an employee that can justify immediate dismissal without prior warnings, such as theft or violence.
Grievance	A formal complaint raised by an employee regarding workplace issues, which may need to be resolved before disciplinary action proceeds.
Misconduct	Behaviour by an employee that breaches workplace rules or policies, but is typically less severe than gross misconduct.
Tribunal	A legal body that resolves disputes between employers and employees, including those related to disciplinary actions.