Disciplinary Policies and Guidance
These Policies and Guidance documents are designed to help employers put in place a clear disciplinary framework and manage disciplinary and appeal processes in a fair and consistent way.
Disciplinary and dismissal issues should be handled carefully to reduce the risk of inconsistent treatment and allegations of unlawful discrimination, constructive dismissal, or procedurally unfair dismissal. Having the right policy documents and supporting guidance in place can help employers follow a more structured and defensible process.
This collection brings together core disciplinary procedure policies, the ACAS Code of Practice, and practical guidance on handling disciplinary and appeal meetings. It is intended to support employers and HR teams both when setting procedures internally and when applying them in practice.
Core Policies for Disciplinary and Appeal Procedures
These documents are useful where an employer needs a written disciplinary procedure or wants guidance on how disciplinary and appeal stages should be managed.
They provide the underlying framework for dealing with conduct, dismissal, and appeals, helping employers approach those issues in a more consistent and organised way.
Practical Guidance for Meetings and Decision-Making
In addition to policy wording, this collection includes guidance on disciplinary procedures and on conducting both disciplinary and appeal meetings.
That practical support can help employers manage hearings more confidently, communicate more clearly with employees, and keep appropriate records throughout the process.
Supporting Fairness and Consistency
Taken together, these policies and guidance notes provide a solid foundation for managing disciplinary matters and related appeals. They are intended to help employers apply procedures fairly, reduce procedural risk, and maintain a consistent approach across different cases.
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Frequently Asked Questions
Do I need a written disciplinary policy, and what should it cover? +
All employers must have a disciplinary procedure regardless of size, and the Employment Rights Act 1996 requires giving employees written information about disciplinary rules and procedures. A separate policy document is not strictly mandated but is strongly recommended: it reduces inconsistent treatment and helps defend tribunal claims. Your policy should explain what conduct may lead to disciplinary action, set out each stage (investigation, hearing, outcome and appeal) and state whether it is contractual or non-contractual. The Simply-Docs Disciplinary Policy and Procedure, with supporting guidance notes in this collection, gives a framework aligned with the Acas Code of Practice.
What does the Acas Code of Practice actually require me to do before taking disciplinary action? +
Before disciplinary action the Acas Code of Practice on Disciplinary and Grievance Procedures (in force since March 2015) requires you to investigate promptly, inform the employee in writing of the allegations, hold a formal hearing where they may be accompanied by a colleague or trade union representative, decide and communicate the outcome and allow an appeal. It covers misconduct and capability but not redundancy dismissals or non-renewal of fixed-term contracts. Non-compliance is not automatic liability, but a tribunal can adjust compensation by up to 25 per cent for unreasonable failure to follow it. For step-by-step support see the Simply-Docs guidance notes on disciplinary procedure and on conducting disciplinary and appeal meetings.
How do I make sure a disciplinary hearing is run fairly so a dismissal cannot be challenged as unfair? +
Follow the steps the Acas Code and tribunal case law treat as important, since poor procedure is a leading cause of unfair dismissal findings even where the reason for dismissal is valid. Give the employee reasonable advance written notice setting out the allegations, evidence and possible outcomes including dismissal where relevant. Use a different manager for the investigation and the hearing wherever practicable, allow the employee to be accompanied and to respond fully before you decide, confirm the outcome in writing, allow a genuine right of appeal and keep written records throughout. The Simply-Docs Guidance Notes on Conducting Disciplinary Meetings and Guidance Notes: Conducting Appeal Meetings provide detailed checklists.
What is the difference between the Acas Code and the Acas guide, and which one do I have to follow? +
The Acas Code of Practice on Disciplinary and Grievance Procedures is statutory, issued under the Trade Union and Labour Relations (Consolidation) Act 1992: tribunals must take it into account and unreasonable non-compliance can adjust compensation by up to 25 per cent. The Acas guide 'Discipline and Grievances at Work' is a non-statutory companion offering more detailed practical advice, but tribunals need not have regard to it and there is no penalty for not following it. The Simply-Docs collection includes a dedicated document on the Acas Code of Practice to help your policy reflect the statutory minimum.
How does a written disciplinary policy help if an employee claims unfair or constructive dismissal? +
A documented disciplinary policy protects you in tribunal because it is key evidence that you followed a fair, consistent process, which strengthens your position that the dismissal was reasonable. Inconsistent application or failing to follow your own procedure can itself strengthen an unfair or constructive dismissal claim. Consider making the policy non-contractual: if it forms part of the contract, failure to follow it strictly could give rise to a breach of contract claim independent of any unfair dismissal right. The Simply-Docs Disciplinary Policy and Procedure and accompanying guidance notes support a defensible process from investigation through to appeal.
Which documents in this collection should I use, and in what order, when a disciplinary issue arises? +
Start by setting up your framework before problems arise: the Disciplinary Policy and Procedure governs your rules and the stages of any formal process, and the Acas Code of Practice document confirms your policy meets the statutory minimum. When an issue arises, the Guidance Notes: Disciplinary Procedure and the Guidance Notes on Disciplinary Procedures support investigation and the formal hearing. For decisions and appeals, use the Guidance Notes on Conducting Disciplinary Meetings and the Guidance Notes: Conducting Appeal Meetings. The sibling sub-folders in the Managing Disciplinary Matters and Dismissal group provide the template letters and notices for each stage.
