Misconduct: Formal Hearings and Warnings
These templates are designed to help employers manage formal disciplinary action for misconduct in a fair, consistent, and properly documented way.
Where misconduct concerns cannot be resolved informally, or where the issue is serious enough to justify formal action, employers should follow a clear disciplinary process. Having the right documents in place can help reduce the risk of inconsistent treatment and allegations of discrimination, constructive dismissal, or procedurally unfair dismissal.
This collection focuses on the formal stages of misconduct handling, including disciplinary hearing notices, warning letters, follow-up correspondence, and documents used where conduct is reviewed again after an earlier warning.
When to Use These Formal Misconduct Templates
These templates are useful where an employer has moved beyond the investigation or informal stage and needs to deal with misconduct under a formal disciplinary procedure.
They are particularly relevant where an employee is being invited to a disciplinary hearing, issued with a verbal, first, or final warning, or called to a further hearing because conduct has not improved or fresh concerns have arisen.
Supporting a Fair Disciplinary Process
The documents in this collection help employers communicate the formal process clearly, record disciplinary outcomes, and confirm the standard of improvement expected from the employee.
They also support the practical administration of disciplinary hearings, including situations where hearings need to be rearranged or postponed.
A Structured Approach to Formal Warnings
Taken together, these templates provide a practical framework for managing formal misconduct matters in an organised and procedurally sound way. They are intended to help employers deal with conduct issues consistently while maintaining clear written records at each stage.
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Frequently Asked Questions
My investigation is complete and the employee has a case to answer. What must I include in the letter inviting them to a disciplinary hearing? +
The invitation letter must set out the allegations clearly, summarise the evidence you will rely on, state the date, time and location of the hearing, identify who will be present and explain the possible outcomes, including whether dismissal is one of them. It must also tell the employee they have the right to be accompanied by a colleague or trade union representative. Omitting any of these elements risks a finding of procedural unfairness. The Simply-Docs Misconduct Notice of First Disciplinary Meeting and Disciplinary Meeting Letter Following Informal Discussion cover these requirements.
The employee's chosen companion is not available on the date I have set for the disciplinary hearing. Do I have to rearrange it? +
Yes, but only if the employee proposes an alternative time which is both reasonable and within five working days of the original date. Under section 10 of the Employment Relations Act 1999, if the employee's chosen companion cannot attend on the proposed date and the employee suggests an alternative that is reasonable and falls within five working days of the original date, you must postpone the hearing to that alternative time. You should also consider whether refusing to postpone beyond that five-day window could still render any dismissal unreasonable under the Employment Rights Act 1996. The Simply-Docs Letter Rescheduling a Disciplinary Hearing supports this process.
The employee is off sick and cannot attend the disciplinary hearing I have arranged. What should I do? +
Contact the employee and attempt to reschedule the hearing. Acas guidance says you should also consider whether adjustments would help, for example a different location or video. If they remain unable or unwilling to attend after reasonable attempts to rearrange, you may proceed in their absence, but you must tell them you intend to do so and give them the opportunity to submit a written statement. Confirm any decision in writing with reasons and appeal rights. The Simply-Docs Letter Postponing Disciplinary Hearing Due To Employee Sickness suits the initial postponement.
I have held a disciplinary hearing for misconduct and want to issue a first written warning. What should the warning letter include? +
Set the warning letter out so it states clearly what the misconduct was, the improvement required, the timescale for it and how long the warning remains active, that further misconduct in that period may be taken into account and what action may follow, including dismissal, and confirm the right to appeal and how to exercise it. Acas guidance confirms the employee should be told how long the warning stays current; the duration is set by your disciplinary policy, with first written warnings commonly lasting six to twelve months. Use the Simply-Docs First Formal Warning Letter and Misconduct First Formal Warning.
An employee's conduct did not improve after a first written warning and I am now considering a further disciplinary hearing. Which templates in this collection are relevant? +
Where conduct has not improved or fresh concerns arise after a first warning, invite the employee to a further hearing then record the outcome. For the invitation use the Second Disciplinary Meeting Letter and Notice Letter of Second Disciplinary Misconduct Meeting, and for the outcome the Second Disciplinary Meeting Decision Letter. For a final warning, use the Final Warning Letter and Misconduct Final Formal Warning Letter. For dismissal or demotion, use the Dismissal or Demotion Letter. Where conduct has improved and you want to record that formally, use the Notice of Improved Conduct Following Formal Warning and Improvement Letter Following Warning or Disciplinary Meeting.
