Disciplinary Policy UK: Employer Guide & Template 2026

A disciplinary policy is one of the most important workplace policies an employer can implement. It provides a clear framework for managing misconduct, ensuring employees understand the standards of behaviour expected of them and the consequences if those standards are breached. For employers, having a well-structured disciplinary policy also helps ensure that disciplinary matters are handled fairly, consistently and in line with UK employment law and your disciplinary procedure.

Without a clear disciplinary policy and procedure, employers risk inconsistent decision-making, workplace disputes and potential employment tribunal claims, including unfair dismissal where a disciplinary matter results in dismissal. Tribunals often scrutinise how an employer handled disciplinary issues, including whether the employer followed a fair procedure and complied with recognised standards such as the ACAS Code of Practice on Disciplinary and Grievance Procedures.

A properly designed disciplinary policy therefore serves several purposes. It communicates workplace rules to employees, establishes a structured process for dealing with misconduct, and helps employers demonstrate procedural fairness if a disciplinary decision is later challenged, including where the issue escalates to dismissing an employee.

Employers should also remember that disciplinary policies rarely operate in isolation. They typically sit alongside other workplace policies, including grievance procedures, capability policies and equality policies, forming part of the wider framework governing workplace conduct.

What this article is about

This guide explains what a disciplinary policy is, the legal framework governing disciplinary policies in the UK, and what employers should include when developing or reviewing their own disciplinary policies and procedures. It also looks at how disciplinary and grievance policies interact and outlines best practice for implementing and maintaining a compliant disciplinary policy in the workplace.

Section A: What is a disciplinary policy?

A disciplinary policy is a formal workplace policy that sets out the standards of behaviour expected from employees and explains how an employer will deal with alleged misconduct. It forms the foundation of an organisation’s disciplinary procedures and provides a structured process for investigating and responding to workplace rule breaches.

A well-drafted disciplinary policy ensures that employees understand what conduct is acceptable, what behaviour may lead to disciplinary action and how disciplinary issues will be handled. It also helps managers deal with misconduct in a consistent and fair way across the organisation.

In practice, disciplinary policies usually sit within an employer’s wider HR framework and are commonly included within an employee handbook or made available through internal policies and procedures. Regardless of where the policy is located, employees should be able to access it easily and understand the rules that apply to them.

Employers should also ensure that their disciplinary policy is communicated clearly to staff. This may involve providing the policy during onboarding, referencing it within the written statement of employment particulars and reminding managers of their responsibilities when handling disciplinary matters. Although employers are not legally required to have a standalone disciplinary policy, they must still provide employees with information about disciplinary rules and procedures in the written statement of employment particulars.

1. Definition of a disciplinary policy

A disciplinary policy is a written document that outlines the rules governing employee conduct and the procedures that will be followed if those rules are breached. It establishes the organisation’s expectations of employee behaviour and provides a structured process for investigating alleged misconduct and determining appropriate disciplinary action.

In most organisations, the disciplinary policy will include:

• examples of misconduct and gross misconduct
• the stages of the disciplinary procedure
• employee rights during disciplinary proceedings
• the potential sanctions that may be imposed.

Although employers are not legally required to have a written disciplinary policy, most organisations adopt one as part of good HR practice. A clearly documented policy helps reduce the risk of inconsistent treatment between employees and demonstrates that the employer takes disciplinary matters seriously.

From a legal perspective, having a written disciplinary policy can also assist employers in defending employment tribunal claims, particularly where disciplinary decisions are challenged on the grounds of procedural unfairness. Clear policies also support consistent decision-making where allegations involve conduct issues such as bullying at work, harassment or discriminatory behaviour.

2. Difference between a disciplinary policy and a disciplinary procedure

Although the terms are sometimes used interchangeably, there is a distinction between a disciplinary policy and a disciplinary procedure.

The disciplinary policy sets out the organisation’s rules and expectations regarding employee conduct. It explains what behaviour is considered misconduct and provides guidance on how disciplinary matters will generally be handled.

The disciplinary procedure, by contrast, refers to the specific steps that the employer will follow when dealing with an alleged breach of those rules. This typically includes the investigation process, disciplinary hearings, warning stages, written outcomes and appeal rights.

In many workplaces, the policy and procedure are combined within the same document. However, the policy element focuses on workplace standards, while the procedure explains how those standards will be enforced.

Understanding this distinction is important because employment tribunals often assess whether the employer followed a fair disciplinary procedure when determining whether disciplinary action and any resulting dismissal was lawful. In practice, this means employers should ensure they have conducted a reasonable investigation, provided the employee with a fair opportunity to respond at a hearing, confirmed the decision in writing and offered an appeal.

3. Relationship between disciplinary and grievance policies

Disciplinary policies are closely linked with grievance procedures. While a disciplinary policy governs how employers deal with employee misconduct, a grievance policy explains how employees can raise concerns or complaints about their working environment.

Both policies form part of the organisation’s wider workplace dispute resolution framework. Together, they help ensure that workplace issues are managed in a fair, transparent and structured way.

In many organisations, disciplinary and grievance policies are developed alongside each other or included within the same section of the employee handbook. This approach helps ensure consistency between the two processes and aligns both procedures with the principles set out in the ACAS Code of Practice.

For example, if an employee raises a grievance during disciplinary proceedings, the employer may need to consider whether the grievance should be addressed before continuing the disciplinary process. Clear policies on both disciplinary and grievance procedures help managers navigate situations like this while maintaining procedural fairness, including signposting employees to guidance on grievance at work and the organisation’s grievance procedure.

Section A Summary

A disciplinary policy establishes the rules governing employee behaviour and explains how misconduct will be addressed in the workplace. While the policy sets out expected standards of conduct, the disciplinary procedure outlines the steps the employer will follow when those standards are breached, including investigation, hearing, written outcome and appeal. Disciplinary policies also operate alongside grievance procedures as part of a broader framework for resolving workplace disputes.

Section B: UK legal framework for disciplinary policies

Employers developing or implementing a disciplinary policy must ensure that the policy aligns with the key principles of UK employment law. Although there is no single statute that requires employers to have a written disciplinary policy, several legal frameworks shape how disciplinary matters must be handled in practice.

The most significant sources of guidance and legal obligation include the ACAS Code of Practice on Disciplinary and Grievance Procedures, the Employment Rights Act 1996, and general principles of fairness developed through employment tribunal case law. Together, these frameworks establish the procedural standards employers are expected to follow when managing misconduct and disciplinary action.

Failure to follow these principles can expose employers to significant legal risk, particularly in cases involving dismissal. Employment tribunals frequently examine whether the employer followed a fair disciplinary procedure and whether the decision to discipline or dismiss an employee fell within the range of reasonable responses available to a reasonable employer.

For this reason, a well-drafted disciplinary policy should reflect the legal standards set out in these frameworks and ensure that managers understand how to apply them in practice.

1. ACAS disciplinary policy guidance

The ACAS Code of Practice on Disciplinary and Grievance Procedures provides the primary guidance for employers dealing with workplace disciplinary issues. While the Code itself does not create legally binding obligations, employment tribunals are required to take it into account when considering relevant cases.

The Code sets out the core principles of a fair disciplinary process. These include the requirement for employers to:

• establish the facts of the case through a reasonable investigation
• inform the employee of the allegations against them
• invite the employee to a disciplinary hearing to respond to those allegations
• allow the employee to be accompanied at the hearing by a colleague or trade union representative
• provide the employee with the right to appeal any disciplinary decision
• confirm decisions and any sanctions in writing, including the reasons and the right of appeal.

Where either the employer or the employee unreasonably fails to follow the ACAS Code, an employment tribunal has the power to adjust compensation by up to 25 percent. This adjustment may increase or decrease any award depending on which party failed to comply with the Code.

Because tribunals routinely refer to the ACAS Code when assessing procedural fairness, most employers structure their disciplinary policies and procedures around the principles set out in the Code.

2. Employment Rights Act 1996 requirements

The Employment Rights Act 1996 provides the statutory framework governing unfair dismissal and several other core employment rights. While the Act does not require employers to maintain a written disciplinary policy, it does require employers to provide employees with information about their disciplinary rules and procedures.

Under section 1 of the Act, employees must receive a written statement of employment particulars on or before their first day of employment. This statement must include information about the employer’s disciplinary rules and the procedure that will apply where disciplinary action may be taken, or a clear reference to where those rules and procedures can be accessed.

Employers may either include the full disciplinary policy within this written statement or refer employees to another document, such as an employee handbook or internal policy portal, where the disciplinary procedure can be accessed.

In addition, the Employment Rights Act establishes the legal test for determining whether a dismissal is fair. When an employee is dismissed for misconduct, tribunals will consider whether:

• the employer had a genuine belief that the employee committed misconduct
• that belief was based on reasonable grounds
• the employer carried out a reasonable investigation before reaching its decision.

These principles are commonly referred to as the Burchell test and are central to how tribunals assess misconduct dismissals. Employers should ensure their disciplinary policy reflects these expectations, including the need for a fair investigation before deciding on any sanction.

To support this, employers may wish to cross-refer managers to guidance on the Burchell test misconduct dismissals when designing disciplinary procedures and training decision-makers.

3. Employment tribunal risks

Disciplinary policies play a significant role in protecting employers from employment tribunal claims. When disputes arise, tribunals frequently examine whether the employer followed its own policies and procedures when dealing with the issue.

If an employer fails to follow its disciplinary policy or applies it inconsistently, this may undermine the employer’s position in tribunal proceedings. For example, an employee may argue that they were treated unfairly compared with colleagues or that the disciplinary procedure was flawed.

One of the most common claims arising from disciplinary action is unfair dismissal claim, particularly where the employer dismisses an employee for misconduct. Even where the employer believes dismissal is justified, a failure to follow a fair procedure may result in the dismissal being deemed unfair.

Employers should also be aware that some dismissals are treated as automatically unfair dismissal where the reason for dismissal is prohibited by law. While these cases often arise outside standard misconduct scenarios, disciplinary processes can sometimes overlap with protected issues, which is why employers should ensure decisions are properly reasoned, evidence-based and procedurally fair.

A well-structured disciplinary policy therefore serves as an important risk management tool. By establishing a clear and consistent process for dealing with misconduct, employers can demonstrate that disciplinary decisions were reached fairly and in accordance with recognised workplace standards.

Section B Summary

The legal framework governing disciplinary policies is shaped primarily by the ACAS Code of Practice, the Employment Rights Act 1996 and employment tribunal case law. Although employers are not legally required to have a standalone disciplinary policy, they must inform employees of disciplinary rules and procedures and ensure disciplinary matters are handled fairly. Aligning workplace policies with ACAS guidance, confirming decisions in writing and offering an appeal helps reduce the risk of successful tribunal claims and compensation uplifts.

Section C: What to include in a disciplinary policy

A disciplinary policy should clearly explain the standards of behaviour expected within the organisation and the procedures that will be followed if those standards are breached. While the exact content of a disciplinary policy may vary depending on the size and nature of the organisation, most policies share several core components designed to ensure fairness, transparency and consistency when handling misconduct.

When drafting a disciplinary policy, employers should ensure that the document is written in clear and accessible language so that employees understand what conduct is expected of them and what consequences may follow if workplace rules are broken. The policy should also provide sufficient guidance for managers responsible for implementing the disciplinary procedure, helping them apply the policy consistently across the workforce.

Although employers may tailor disciplinary policies to reflect the needs of their organisation, certain key elements should normally be included to ensure the policy aligns with recognised best practice and the principles set out in the ACAS Code of Practice.

1. Policy purpose and scope

The opening section of a disciplinary policy should explain the purpose of the policy and the circumstances in which it will apply. This section helps employees understand why the policy exists and who it covers.

Typically, the policy will state that its purpose is to ensure that issues relating to employee conduct are addressed in a fair, consistent and transparent manner. It may also confirm that the policy applies to all employees within the organisation, although separate procedures may apply to certain groups such as senior executives or contractors depending on the organisation’s governance structure.

This section may also explain the types of issues that may be addressed through the disciplinary process, including breaches of company policies, misconduct in the workplace or conduct outside the workplace that may affect the organisation’s reputation or operations.

Setting out the scope of the policy helps ensure that employees understand how the disciplinary framework applies to them and provides managers with clarity about when disciplinary action may be appropriate.

2. Examples of misconduct

Most disciplinary policies include examples of behaviour that may be considered misconduct. Providing examples helps reduce uncertainty and gives employees a clearer understanding of the types of behaviour that may lead to disciplinary action.

Misconduct can take many forms depending on the nature of the workplace. Common examples often included within disciplinary policies include:

• failure to follow reasonable management instructions
• breaches of workplace policies or procedures
• repeated lateness or unauthorised absence from work
• inappropriate behaviour towards colleagues or customers
• misuse of company equipment or systems
• breaches of health and safety procedures
• harassment, bullying or discriminatory behaviour
• failure to perform duties in accordance with required standards.

It is important for disciplinary policies to clarify that these examples are illustrative rather than exhaustive. This allows employers to address misconduct that may not be specifically listed in the policy but which nonetheless breaches workplace rules.

Providing examples also helps ensure that disciplinary action is applied consistently across the organisation and reduces the likelihood of disputes about whether certain conduct falls within the scope of the policy.

3. Examples of gross misconduct

In addition to general misconduct, disciplinary policies usually identify examples of gross misconduct. Gross misconduct refers to behaviour so serious that it may justify dismissal without notice or payment in lieu of notice, provided that a fair disciplinary procedure has been followed.

Examples of gross misconduct commonly listed in disciplinary policies include:

• theft, fraud or dishonesty
• physical violence or serious threats against colleagues or customers
• serious bullying or harassment
• serious breaches of health and safety rules
• deliberate damage to company property
• serious misuse of company IT systems or confidential information
• serious breaches of confidentiality
• serious insubordination or refusal to follow lawful and reasonable instructions
• attending work under the influence of alcohol or drugs where this poses a safety risk.

Where gross misconduct is alleged, employers should still carry out a reasonable investigation before deciding whether disciplinary action is appropriate. In some cases, the employer may suspend the employee while an investigation is carried out, particularly where there are concerns about workplace safety or interference with evidence. Further guidance on this stage can be found in relation to suspension from work.

If the allegation is upheld following a fair disciplinary process, the outcome may include summary dismissal, which allows an employer to dismiss an employee without notice where gross misconduct has occurred.

4. Disciplinary procedures and stages

A disciplinary policy should also explain the steps that will normally be followed when addressing alleged misconduct. Although the exact process may vary depending on the circumstances of the case, most disciplinary procedures follow a similar structure.

The disciplinary process typically begins with an investigation to establish the facts of the case. This may involve gathering documentary evidence, interviewing witnesses and inviting the employee concerned to provide their account of events. Employers may appoint an investigating officer to carry out this process in accordance with their disciplinary investigation procedures.

If the investigation indicates that disciplinary action may be appropriate, the employee will usually be invited to a disciplinary hearing where the allegations and evidence can be considered. The employee should receive sufficient information about the allegations in advance of the hearing so they have a reasonable opportunity to prepare their response.

Following the hearing, the employer will decide whether disciplinary action is justified and, if so, what sanction should apply. Depending on the seriousness of the misconduct, the outcome may include:

• a verbal or informal warning
• a first written warning
• a final written warning
• dismissal with notice
• summary dismissal in cases of gross misconduct.

Where disciplinary action is taken, the employee should be informed of the outcome in writing and advised of their right to appeal the decision.

5. Employee rights during disciplinary proceedings

A fair disciplinary policy should clearly outline the rights that employees have during disciplinary proceedings. Ensuring employees are aware of these rights helps promote procedural fairness and reduces the risk of disputes arising during the process.

One of the most important rights is the statutory right to be accompanied at a disciplinary hearing. Under the Employment Relations Act 1999, employees have the right to be accompanied by a fellow worker or a trade union representative at disciplinary hearings that could result in formal warnings or dismissal.

Employees should also be given a reasonable opportunity to respond to the allegations against them and present evidence in their defence. This may include calling witnesses or submitting relevant documents where appropriate.

Another key safeguard is the right to appeal any disciplinary decision. The appeal process should normally involve a review of the decision by a manager who was not previously involved in the case where possible. This provides an additional layer of fairness and allows potential procedural errors to be corrected.

Section C Summary

A well-drafted disciplinary policy should clearly outline the standards of behaviour expected in the workplace and explain how misconduct will be addressed. Key elements typically include the policy’s purpose and scope, examples of misconduct and gross misconduct, the stages of the disciplinary procedure and the rights employees have during disciplinary proceedings. Including these components helps ensure disciplinary matters are handled fairly, consistently and in accordance with recognised employment law principles.

Section D: Disciplinary policy template and best practice

While many organisations understand the importance of having a disciplinary policy, the effectiveness of the policy often depends on how clearly it is structured and how consistently it is applied in practice. A disciplinary policy should not simply exist as a formal document within an employee handbook. It must also provide practical guidance that managers can follow when dealing with misconduct issues.

For this reason, many employers look for a disciplinary policy template or sample disciplinary policy when developing or reviewing their internal procedures. Using a structured template can help ensure that all key elements of a compliant disciplinary policy are included and that the organisation’s approach aligns with recognised employment law principles and ACAS guidance.

However, while templates can provide a useful starting point, employers should always ensure that their disciplinary policies are tailored to reflect the specific nature of their organisation, workforce and operational risks.

1. Disciplinary policy template UK

A disciplinary policy template provides a structured framework that employers can use when drafting their workplace policy. A well-designed template helps ensure that the policy covers the core elements required for fair and consistent disciplinary management.

A typical UK disciplinary policy template will include the following sections:

• introduction and policy purpose
• scope of the policy and who it applies to
• examples of misconduct and gross misconduct
• the stages of the disciplinary procedure
• employee rights during disciplinary proceedings
• the appeals process
• responsibilities of managers and HR in administering the policy.

Using a template can help employers ensure that their policy reflects the principles set out in the ACAS Code of Practice while also providing a clear and consistent framework for managers to follow when disciplinary issues arise.

However, templates should not be copied without careful review. Employers should ensure that any disciplinary policy template is adapted to reflect the organisation’s structure, reporting lines and operational needs.

2. Sample disciplinary policy structure

Although disciplinary policies vary across organisations, most follow a broadly similar structure designed to ensure clarity and procedural fairness. A typical disciplinary policy structure might include:

• a statement outlining the purpose of the policy
• a description of expected standards of behaviour
• examples of misconduct and gross misconduct
• a step-by-step explanation of the disciplinary procedure
• guidance on disciplinary sanctions
• the employee’s right to be accompanied
• the appeals process.

In addition to these elements, some organisations include guidance for managers on how to conduct investigations or disciplinary hearings. This may involve outlining the responsibilities of investigating officers, disciplinary panel members or HR advisers.

Including clear guidance within the policy can help reduce the risk of procedural errors and support managers who may be less experienced in handling disciplinary matters.

3. Aligning disciplinary and grievance procedures

In many workplaces, disciplinary policies are closely aligned with grievance procedures. While the disciplinary policy governs how employers deal with misconduct, grievance procedures allow employees to raise concerns about workplace issues, including complaints about management decisions or workplace treatment.

Aligning these policies helps ensure that workplace disputes are handled consistently and that managers understand how the two processes interact.

For example, it is not uncommon for employees to raise a grievance during disciplinary proceedings. In some cases, the grievance may relate directly to the disciplinary issue itself, such as allegations of unfair treatment or procedural irregularities. Clear policies help employers determine whether the disciplinary process should continue or whether the grievance should be addressed first.

Where disciplinary and grievance policies are developed together, organisations can ensure that both procedures reflect the principles of fairness, transparency and consistency set out in the ACAS Code of Practice.

4. Reviewing and updating workplace disciplinary policies

Disciplinary policies should not remain static. As employment law evolves and organisational structures change, employers should review their disciplinary policies periodically to ensure they remain effective and legally compliant.

Regular policy reviews allow employers to:

• ensure policies reflect current employment law and ACAS guidance
• address new workplace risks, such as issues involving technology or remote working
• incorporate lessons learned from previous disciplinary cases
• update policy language to ensure clarity for employees and managers.

Many organisations review their disciplinary policies annually or when significant changes occur in employment law or internal governance structures.

Employers should also ensure that any updates to disciplinary policies are clearly communicated to employees and managers. This may involve updating employee handbooks, issuing policy notifications or providing training to managers responsible for implementing the disciplinary procedure.

In some cases, employers may also review related HR processes such as capability procedure frameworks or performance management processes to ensure they remain clearly distinct from misconduct procedures. Issues involving attendance may also be managed under wider absence management policies rather than disciplinary processes where appropriate.

Section D Summary

A disciplinary policy template can provide employers with a useful framework for developing a clear and compliant disciplinary procedure. However, policies should always be tailored to reflect the specific needs of the organisation and should be reviewed regularly to ensure they remain aligned with employment law and best practice. Ensuring disciplinary and grievance procedures are consistent and clearly documented helps organisations manage workplace conduct issues effectively while reducing legal risk.

Disciplinary Policy FAQs

What is a disciplinary policy?

A disciplinary policy is a workplace policy that sets out the standards of behaviour expected from employees and explains how an employer will deal with misconduct. The policy typically outlines examples of misconduct and gross misconduct, the stages of the disciplinary procedure and the rights employees have during disciplinary proceedings.

Is a disciplinary policy legally required in the UK?

Employers are not legally required to have a standalone written disciplinary policy. However, under the Employment Rights Act 1996, employers must provide employees with information about their disciplinary rules and procedures as part of the written statement of employment particulars provided on or before the employee’s first day of work. In practice, most organisations maintain a written disciplinary policy to ensure fairness and consistency.

What should a disciplinary policy include?

A disciplinary policy should explain the purpose of the policy, the standards of behaviour expected from employees and examples of misconduct and gross misconduct. It should also outline the stages of the disciplinary procedure, including investigations, disciplinary hearings, possible sanctions and the employee’s right to appeal.

What does ACAS say about disciplinary policies?

ACAS provides guidance through the Code of Practice on Disciplinary and Grievance Procedures. The Code outlines the key principles employers should follow when handling disciplinary matters, including carrying out a reasonable investigation, informing employees of allegations, holding a disciplinary hearing and providing a right of appeal. Employment tribunals must take the Code into account when considering relevant cases.

Can an employee be dismissed without a warning?

In many situations, employers will issue warnings before dismissal. However, where an employee commits gross misconduct, dismissal without notice may be justified. Even in cases of gross misconduct, employers should still carry out a fair investigation and disciplinary hearing before making a dismissal decision.

What is the difference between a disciplinary policy and a disciplinary procedure?

A disciplinary policy sets out the rules governing employee conduct and the organisation’s approach to disciplinary matters. A disciplinary procedure describes the specific steps the employer will follow when dealing with alleged misconduct, including investigations, hearings and appeals.

Should disciplinary and grievance policies be combined?

Some organisations combine disciplinary and grievance procedures within the same policy document, while others maintain separate policies. Either approach can work, provided both procedures follow the principles set out in the ACAS Code of Practice and are clearly communicated to employees.

Conclusion

A disciplinary policy provides the framework employers need to manage workplace conduct issues in a fair, transparent and consistent way. By clearly outlining expected standards of behaviour and the procedures that will be followed when misconduct occurs, disciplinary policies help employees understand the rules that apply within the organisation.

For employers, a well-drafted disciplinary policy is also an important risk management tool. Employment tribunals frequently examine whether employers followed fair procedures when handling disciplinary matters, particularly in cases involving dismissal. Aligning workplace policies with the principles set out in the ACAS Code of Practice can therefore help reduce the risk of disputes and legal claims.

Regularly reviewing and updating disciplinary policies also ensures they remain aligned with evolving workplace practices and employment law developments. By maintaining a clear and accessible disciplinary framework, employers can promote consistency in decision-making while supporting fair and effective workplace management.

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