Creating disciplinary procedures in the workplace

Disciplinary procedures are a structured approach to addressing employee misconduct or underperformance in a fair and consistent manner. They play a crucial role in maintaining workplace harmony, ensuring legal compliance and promoting a culture of accountability. 

For UK employers, having robust disciplinary procedures isn’t just best practice; it’s often a legal necessity. This guide explores how to create and implement effective disciplinary procedures, helping you to safeguard your organisation and support your workforce. This free downloadable template will help you to: 

• Create a consistent and fair approach to disciplinary procedures 
• Document your disciplinary procedures
• Outline clear expectations for both employees and your organisation at each stage 
• Outline clear potential outcomes for disciplinary procedures

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Why disciplinary procedures are essential in the workplace

An effective disciplinary process is more than just a way to address problems. It’s a fundamental component of fostering trust, maintaining fairness and protecting your organisation.

Legal importance

• Avoiding claims of unfair dismissal: Under UK employment law, employees dismissed without a fair process can bring claims against their employer. A clear disciplinary procedure ensures compliance with the ACAS Code of Practice, helping to mitigate these risks.
• Protecting employers from disputes: Properly documented and applied disciplinary actions provide legal protection, reducing the chance of liability.
• Clarity on rights and responsibilities: A documented procedure explains what is expected of both employers and employees, reducing ambiguity.

Operational benefits

• Encouraging consistent application: A fair process ensures decisions are not arbitrary but based on clearly defined standards. This consistency helps in managing risks and employee expectations effectively.
• Promoting accountability: A structured process creates clear consequences, encouraging employees to meet their performance and conduct obligations.

Cultural impact

• Building a positive workplace culture: By showing that rules are enforced fairly, disciplinary procedures reinforce integrity and mutual respect.
• Supporting employee improvement: Addressing issues constructively gives staff the chance to learn and grow, fostering stronger engagement and performance.

Informal vs formal disciplinary action

Handling discipline isn’t a one-size-fits-all scenario. Understanding when to use informal or formal approaches is essential for balance. Example policy details for these different approaches are included in the template. 

Informal actions

The purpose of this approach is to address minor issues early, preventing escalation. Examples of its use include a one-off issue such as lateness or behaviour that doesn’t yet warrant a formal warning. Methods involve verbal discussions to define problems and outline expectations, along with notes for internal records to track patterns, which are not binding. This method is effective for fostering improvement without formal repercussions.

Formal actions

Formal disciplinary action is taken to systematically address more serious or recurring issues. Escalation is warranted for repeat offences, a failure to improve after informal discussions or issues involving misconduct or behavior that significantly impacts the workplace. The process requires documented steps and adherence to legal guidelines.

Using informal routes first where appropriate encourages early intervention, maintaining a positive employee-employer relationship.

Step-by-step disciplinary procedure

When formal action is necessary, a fair and transparent process ensures consistency and legal compliance.

1. Investigation and evidence gathering

• Key actions:
  • Conduct a fact-finding process to gather details about the issue.
  • Speak to witnesses or review relevant documentation.
  • Ensure the investigation is impartial.
• Outcome: Decide whether formal action is warranted based on evidence.

2. Invitation to a disciplinary hearing

• Written notification:
  • Clearly outline the allegations.
  • Include evidence to be discussed.
  • Provide reasonable notice of the time and date.
• Right to be accompanied: Inform the employee of their right to bring a companion (e.g., a colleague or trade union representative).

3. The disciplinary hearing

• Procedure:
  • Present the allegations and evidence.
  • Allow the employee to respond fully.
  • Hear witnesses if applicable.
• Role of the chair: Ensure the process remains fair and focused on facts.

4. Communicating outcomes and next steps

• Outcome letter:
  • Detail the decision made (e.g., warning, dismissal).
  • Provide reasons and explain next steps.
• Timelines: Send this communication promptly, ideally within five working days.

5. The appeal process

• Rights and communication:
  • Employees should know how to appeal against a decision.
  • Appeals must be heard impartially and in a timely manner, ideally by someone not involved in the original process.

Handling different types of disciplinary issues

Different situations require tailored approaches to ensure appropriate outcomes.

Misconduct vs gross misconduct

Misconduct typically refers to less severe issues—such as lateness or unprofessional behaviour, which disrupt workplace standards but do not fundamentally breach trust. These situations are often managed with verbal or written warnings and may require additional monitoring to ensure improvement. In contrast, gross misconduct involves serious breaches like theft, violence or other actions that can irreparably damage the employer-employee relationship. Gross misconduct is treated with the utmost seriousness and, following a thorough investigation, may lead to immediate dismissal in line with company procedure.

Underperformance and capability concerns

When dealing with underperformance or capability concerns, the focus should be on providing structured improvement plans. This involves setting clear targets and timescales for the employee to achieve the required standards. Employers should also ensure that the necessary training and support are available to help the individual address any skill or performance gaps. If the employee does not make the required improvements within the agreed timeframe, the matter should be escalated in accordance with the organisation’s disciplinary procedures.

Repeat minor offences

Repeated minor offences can erode team morale and impact overall productivity. It is essential to keep detailed records of all previous incidents and actions taken. If an employee continues to commit minor offences despite earlier interventions, managers should escalate disciplinary measures appropriately. This may involve moving from verbal to written warnings to demonstrate the seriousness of the issue and encourage meaningful change.

An effective policy should promote transparency, fairness and respect. Follow these principles:

• Transparency and documentation: Ensure expectations and rules are well-communicated. Maintain comprehensive, accessible records of all disciplinary actions.
• Consistency across roles: Apply procedures uniformly to avoid claims of discrimination or favouritism. Implement clear training for managers involved in applying the policy.
• Respect for employee rights: Allow employees to present their case. Guarantee the right to a trade union representative or work colleague at formal hearings.
• Use of Neutral Parties: Engage impartial decision-makers, especially during investigations and appeals.

How Employment Hero can help

Employment Hero simplifies complex HR processes, giving Small-to-Medium Enterprises (SMEs) the tools they need to handle disciplinary matters confidently. Here’s how we can help:

• HR templates and resources: Access ready-to-use policies, procedures and letters tailored to UK laws.
• Compliance alerts: Stay up to date with real-time updates on legislation changes.
• Employee management tools: Monitor performance and record incidents efficiently.
• Expert support: Connect with HR specialists for advice on compliance issues.

By centralising these tools in one platform, Employment Hero can help you to save time, reduce risk and manage compliance. If you’re looking for more than one policy, talk to our business specialists and book a demo of our platform. 

Get started today with the template

Having proper disciplinary procedures in place is essential for any UK employer. By addressing issues fairly and transparently, you not only protect your business but also foster a culture of trust and accountability..

The information in this article is current as at 14 August 2025, and has been prepared by Employment Hero UK Ltd and its related bodies corporate (Employment Hero). The views expressed in this article are general information only, are provided in good faith to assist employers and their employees, and should not be relied on as professional advice. Some information is based on data supplied by third parties. While such data is believed to be accurate, it has not been independently verified and no warranties are given that it is complete, accurate, up to date or fit for the purpose for which it is required. Employment Hero does not accept responsibility for any inaccuracy in such data and is not liable for any loss or damages arising directly or indirectly as a result of reliance on, use of or inability to use any information provided in this article. You should undertake your own research and seek professional advice before making any decisions or relying on the information in this article.