Disciplinary Action Form Template for England and Wales

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Key Requirements PROMPT example:

Disciplinary Action Form

"I need a Disciplinary Action Form for a retail employee who has had multiple instances of tardiness, including documentation of previous verbal warnings and a clear timeline for improvement over the next three months starting January 2025."

Document background
The Disciplinary Action Form is a crucial document in UK employment practice, designed to ensure fair and transparent handling of workplace disciplinary issues. This document is used when formal disciplinary action is required following misconduct, poor performance, or violation of company policies. It must comply with English and Welsh employment law, including the Employment Rights Act 1996 and ACAS guidelines. The form documents the specific incident or behavior, the disciplinary measure taken, required improvements, and timeline for review, serving as both a formal record and a communication tool between employer and employee.
Suggested Sections

1. Employee Information: Full name, employee ID, position, department, and other relevant employee details

2. Incident Details: Date, time, location, and detailed description of the incident or behavior leading to disciplinary action

3. Rule Violation: Specific company policy, rule or regulation that was violated, with reference to relevant policy documents

4. Previous Warnings: Documentation of any prior disciplinary actions or warnings issued to the employee

5. Action Taken: Details of the specific disciplinary measure being implemented, including justification

6. Improvement Required: Clear statement of expected behavior changes or performance improvements required

7. Timeline: Specified timeframe for improvement and scheduled review date

8. Signatures: Space for required signatures including employee, manager, HR representative, and witnesses

Optional Sections

1. Investigation Summary: Detailed summary of the investigation process and findings for complex cases requiring formal investigation

2. Support Measures: Description of additional training, mentoring, or support measures being offered to assist improvement

3. Union Representative Details: Information regarding union involvement and representation when applicable

Suggested Schedules

1. Evidence Documentation: Copies and details of all relevant evidence supporting the disciplinary action

2. Witness Statements: Written statements from witnesses or other involved parties

3. Relevant Company Policies: Copies of specific company policies and procedures that were violated

4. Meeting Records: Detailed notes and minutes from disciplinary meetings or hearings

5. Previous Warning Documentation: Copies of any previous disciplinary actions or warning letters issued to the employee

Authors

Alex Denne

Head of Growth (Open Source Law) @ Genie AI | 3 x UCL-Certified in Contract Law & Drafting | 4+ Years Managing 1M+ Legal Documents | Serial Founder & Legal AI Author

Relevant Industries
Relevant Teams
Relevant Roles
Industries

Employment Rights Act 1996: Primary legislation governing employment rights, including key sections on unfair dismissal and disciplinary procedures. Fundamental for ensuring legal compliance in disciplinary actions.

Equality Act 2010: Legislation ensuring disciplinary actions are non-discriminatory and protecting employees from unfair treatment based on protected characteristics.

Human Rights Act 1998: Ensures disciplinary procedures respect fundamental human rights and fair treatment principles.

Data Protection Act 2018 and UK GDPR: Governs the handling and protection of personal information during disciplinary proceedings and record-keeping.

ACAS Code of Practice: Provides practical guidance on handling disciplinary situations and grievances in the workplace, including procedural requirements.

Employment Act 2002 (Dispute Resolution) Regulations: Sets out specific requirements for handling employment disputes and disciplinary matters.

Employment Tribunals Regulations 2013: Establishes rules and procedures for employment tribunals, relevant if disciplinary actions lead to tribunal claims.

Natural Justice Principles: Common law principles ensuring fairness in disciplinary proceedings, including the right to be heard and right to an unbiased decision-maker.

Right to Accompaniment: Legal requirement allowing employees to be accompanied by a colleague or trade union representative at disciplinary hearings.

Appeal Rights: Legal requirement to provide employees with the right to appeal against disciplinary decisions.

Procedural Fairness: Legal requirement to follow fair and reasonable procedures throughout the disciplinary process.

Record-Keeping Requirements: Legal obligations regarding maintaining accurate and complete records of disciplinary proceedings and outcomes.

Confidentiality Requirements: Legal and practical requirements for maintaining confidentiality during disciplinary proceedings.

Relevant Case Law: Established legal precedents from employment tribunals and courts regarding disciplinary procedures and fair treatment standards.

Teams

Employer, Employee, Start Date, Job Title, Department, Location, Probationary Period, Notice Period, Salary, Overtime, Vacation Pay, Statutory Holidays, Benefits, Bonus, Expenses, Working Hours, Rest Breaks,  Leaves of Absence, Confidentiality, Intellectual Property, Non-Solicitation, Non-Competition, Code of Conduct, Termination,  Severance Pay, Governing Law, Entire Agreemen

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