Managing discipline

Find out about HR-Inform

To access all of HR-Inform you need to:

Model documents and policies

Downloadable and customisable documents relating to managing discipline. For more information see the employment law pages on Disciplinary procedures.

Contract clauses

Word

Contract clause on the right to suspend an employee

 (54 KB)
Last Modified: 01 Jun 2013
This contract clause states that the company has the right to suspend an employee on normal pay either during an investigation into their conduct or pending disciplinary proceedings or for health and safety reasons.

Forms

Word

Form to record a disciplinary investigation

 (55 KB)
Last Modified: 01 Jun 2013
The form is designed for the investigating manager to record the details and conclusions of a disciplinary investigation.

Letters

Word

Letter confirming outcome of disciplinary appeal hearing

 (55 KB)
Last Modified: 01 Jun 2013
This letter to an employee confirms the outcome - a written warning or dismissal - of a disciplinary appeal hearing. You should ensure that you provide duplicate copies of this letter to the employee for them to sign and return.
Word

Letter confirming that a disciplinary sanction other than a warning or dismissal will be imposed

 (53 KB)
Last Modified: 01 Jun 2013
This letter informs an employee that a disciplinary sanction other than a warning or dismissal is being imposed, eg demotion or transfer to other job, and asks them to sign an enclosed letter to accept the changes to their terms of employment.
Word

Letter confirming that a final written warning has expired

 (52 KB)
Last Published: 18 Feb 2016
This letter informs an employee that, following the agreed period of time, a final written warning has now expired meaning the warning will now be disregarded for disciplinary purposes.
Word

Letter confirming that an employee has been given a formal verbal warning for misconduct

 (54 KB)
Last Modified: 01 Jun 2013
This letter confirms to an employee that they have been given a formal verbal warning for misconduct, which will remain on their file, also stating what is expected of them in future.
Word

Letter confirming that an employee has been given a formal verbal warning for poor performance

 (53 KB)
Last Modified: 23 May 2013
This letter is to confirm to an employee that they have been given a formal verbal warning for poor performance, which will remain on their file, and that they have the right to appeal.
Word

Letter confirming the issuing of a formal or final written warning

 (53 KB)
Last Modified: 01 Jun 2013
This letter should be sent to confirm the issuing of a formal written or final written warning as the result of a disciplinary procedure, detailing the date on which the hearing took place, the details of the investigation, the employee’s contribution (if applicable) and the findings of the process. The letter also outlines that the warning will be places on the employee’s file for the stated period of time until they meet the standard of conduct or performance detailed in the letter.
Word

Letter confirming the issuing of a formal warning following a hearing for poor performance

 (53 KB)
Last Modified: 01 Jun 2013
This letter confirms the issuing of a formal warning following a capability hearing for poor performance. It confirms the time and date of the hearing, the content of the discussion, the standard of performance that is expected, the timescales for improvement, the consequence of insufficient improvement and the right to appeal.
Word

Letter confirming what has been agreed following an informal discussion regarding minor misconduct

 (53 KB)
Last Modified: 01 Jun 2013
This letter confirms to an employee what was agreed at an informal meeting over minor misconduct, detailing what is expected of them in future.
Word

Letter confirming what has been agreed following an informal discussion regarding minor unsatisfactory performance

 (53 KB)
Last Modified: 01 Jun 2013
This letter confirms to an employee what was agreed at an informal meeting over minor performance concerns, detailing what is expected of them in future.
Word

Letter following a disciplinary hearing informing the employee that a disciplinary penalty will not be imposed

 (53 KB)
Last Modified: 01 Jun 2013
This letter informs an employee that, following a disciplinary hearing, the company has decided not to impose a disciplinary penalty, but that they are required to improve their conduct.
Word

Letter following a disciplinary investigation informing the employee that disciplinary proceedings will not take place

 (53 KB)
Last Modified: 01 Jun 2013
This letter informs an employee that, following an investigation, disciplinary proceedings will not take place, but that they are required to improve their conduct.
Word

Letter informing a sick employee of the outcome of a disciplinary hearing that took place in their absence

 (55 KB)
Last Modified: 01 Jun 2013
This letter has been drafted to inform a sick employee of the outcome of a disciplinary hearing and stating their right to appeal this.
Word

Letter informing a sick employee that a disciplinary hearing will proceed in their absence

 (53 KB)
Last Modified: 01 Jun 2013
This letter informs an employee absent due to sickness that a disciplinary hearing will proceed in their absence, that they can ask someone to attend in their place and that they can appeal against the outcome.
Word

Letter informing an employee of the employer's final decision following an appeal against their dismissal

 (54 KB)
Last Modified: 01 Jun 2013
This letter informs an employee of the outcome of a meeting to appeal against their dismissal, reiterating their grounds for appeal and mitigation and informing them that the decision is now final.
Word

Letter informing an employee of the outcome of an appeal hearing regarding poor performance

 (53 KB)
Last Modified: 01 Jun 2013
This letter confirms to an employee the outcome of an appeal meeting regarding poor performance, including the reasons for their appeal and any mitigating factors, stating that the decision is now final.
Word

Letter informing an employee suspected of misconduct that an investigation will take place

 (54 KB)
Last Modified: 01 Jun 2013
This letter informs an employee that there will be an investigation into allegations of their misconduct, detailing those allegations and saying they will have to attend a meeting to assist with the investigation.
Word

Letter inviting a witness to an investigation meeting

 (52 KB)
Last Modified: 29 Nov 2013
This letter should be used when inviting a witness to an internal investigation meeting. It covers the meeting details and a request for confirmation of attendance.
Word

Letter inviting an employee to a disciplinary hearing

 (52 KB)
Last Modified: 01 Jun 2013
This letter invites an employee to a disciplinary hearing and states the allegations, explaining the employee's opportunity to answer the allegation, detailing the attendees and seeking confirmation of the employee's availability to attend and right to be accompanied.
Word

Letter inviting an employee to an investigatory meeting

 (52 KB)
Last Modified: 01 Jun 2013
This letter invites an employee to an investigatory meeting regarding their capability. The letter expresses concerns regarding performance and invites the employee to a meeting to explore the issue. It explains the purpose of the meeting and asks for confirmation of attendance. The employee's right to be accompanied is also mentioned.
Word

Letter inviting an employee to attend a final disciplinary appeal hearing

 (53 KB)
Last Modified: 17 Jul 2013
This letter invites an employee to a final disciplinary appeal hearing, where more than one level of appeal is available to the employee. The letter also outlines the employee’s right to be accompanied by a colleague or trade union official.
Word

Letter inviting an employee to attend a meeting to discuss their appeal against dismissal

 (53 KB)
Last Modified: 01 Jun 2013
This letter invites an employee to a meeting to appeal against their dismissal, reiterating the reasons for their appeal and stating they have the right to be accompanied.
Word

Letter inviting an employee to disciplinary appeal hearing

 (55 KB)
Last Modified: 01 Jun 2013
This letter sets out the process for inviting an employee to a disciplinary appeal hearing, including information on the right to be accompanied and the right to postpone the hearing.
Word

Letter outlining options when faced with a disciplinary hearing

 (55 KB)
Last Modified: 01 Jun 2013
This is a letter to send out to employees who are facing a disciplinary hearing, which outlines the details of the meeting, including the allegations made against the employee and their next steps.
Word

Letter postponing a disciplinary appeal hearing

 (55 KB)
Last Modified: 01 Jun 2013
This is a template letter to send to an employee informing them that the disciplinary appeal hearing will be rescheduled as it was necessary to postpone the initial meeting.
Word

Letter postponing disciplinary hearing due to employee sickness

 (55 KB)
Last Modified: 01 Jun 2013
Send this letter to an employee who is on sick leave in order to postpone or reschedule his or her disciplinary meeting.
Word

Letter regarding witness confidentiality in a disciplinary case

 (55 KB)
Last Modified: 01 Jun 2013
This model letter explains the requirements surrounding confidentiality in a disciplinary case to a witness, requiring the witness to sign and return an undertaking to confidentiality and detailing the parties concerned and the implications of breaching the undertaking.
Word

Letter requesting an external witness to provide a witness statement

 (53 KB)
Last Modified: 01 Jun 2013
This letter is to request a written statement from an external witness, required for an investigation that may lead to disciplinary proceedings.
Word

Letter rescheduling a disciplinary appeal hearing

 (53 KB)
Last Modified: 01 Jun 2013
This letter is to inform an employee of the new time and place of a disciplinary appeal hearing that the employee failed to or was unable to attend.
Word

Letter rescheduling a disciplinary hearing

 (55 KB)
Last Modified: 01 Jun 2013
This letter is to inform an employee of the new time and place of a disciplinary hearing that the employee failed to or was unable to attend or was postponed by the company.
Word

Letter rescheduling a final disciplinary appeal hearing

 (53 KB)
Last Modified: 01 Jun 2013
This letter is to inform an employee of the new time and place of a final disciplinary hearing that the employee failed to or was unable to attend or was postponed by the company.
Word

Letter setting out reasons for the dismissal of an employee

 (52 KB)
Last Modified: 22 Nov 2013
Use this letter to give details and confirm the outcome of a disciplinary hearing. The letter also confirms whether or not the employee has to work a notice period and confirms that the employee has the right of appeal against their dismissal.
Word

Letter suspending an employee

 (55 KB)
Last Modified: 01 Jun 2013
This letter informs an employee that they have been suspended. It is for use in cases of potential gross misconduct only.
Word

Letter to a doctor regarding the fitness of an employee to attend a disciplinary hearing

 (53 KB)
Last Modified: 01 Jun 2013
This letter is to ask a doctor their opinion of an employee's fitness to attend a disciplinary hearing, when the employee is absent due to illness.

Policies

Word

Absent from work during disciplinary process procedure

 (56 KB)
Last Modified: 01 Jun 2013
This policy clarifies the procedure to be followed if an employee is absent from work due to sickness during a disciplinary process. It includes the basic principles to be followed, from the commencement of the disciplinary process, through to absence from a re-arranged appeal meeting.
Word

Disciplinary procedure for medium to large organisations

 (59 KB)
Last Modified: 01 Jun 2013
Medium to large companies should use this procedure to help and encourage all employees to achieve and maintain standards of conduct, attendance and job performance. This procedure covers principles, oral warning, written warning, final written warning, dismissal, gross misconduct, disciplinary investigations, appeals, the appeals hearing, and notes.
Word

Disciplinary procedure for small organisations

 (56 KB)
Last Modified: 01 Jun 2013
The procedure for small companies is designed to establish the facts quickly and to deal with disciplinary issues consistently. Source: Adapted from ACAS Advisory Handbook: Discipline and Grievances at Work. 2007. Appendix 4.
Word

Employee charged with criminal offences policy

 (55 KB)
Last Modified: 01 Jun 2013
This policy covers action to be taken by the employer when an employee is charged with a criminal offence. The policy gives guidelines on managing the situation, including bringing the organisation into disrepute, minor motoring offences, criminal offences relating to work activities, dismissal when the employee is later acquitted, offences leading to the required dismissal of the employee, action when the employee is found guilty, but not imprisoned and action on imprisonment of the employee.
Word

Legal representation at disciplinary hearings policy

 (55 KB)
Last Modified: 01 Jun 2013
Public sector bodies are required to allow legal representation at internal disciplinary hearings when there is the possibility that, if the allegation is upheld, the employee will be unable to continue working in his/her chosen career. This policy sets out the process for a disciplinary hearing where the employee requires legal representation.
Word

Policy outlining procedure when an employee goes off sick during disciplinary process

 (56 KB)
Last Modified: 01 Jun 2013
This policy sets out the procedure to follow if an employee takes sickness absence leave whilst a disciplinary process in relation to that employee is underway.
Word

Procedure on conducting a disciplinary investigation

 (51 KB)
Last Modified: 22 Nov 2013
Use this procedure to set out the policy on conducting a disciplinary investigation in the workplace. The procedure confirms the responsibilities of the employee and the company.
Word

Stop and search policy

 (56 KB)
Last Modified: 01 Jun 2013
This policy outlines the situations in which the organisation might stop and search those working in the organisation. The policy covers general principles, searching of vehicles, searching of bags, other searches, refusing to allow a search, action to be taken if irregularity is discovered, frequency of searches, recording of searches, and complaints about searches.