Creating a Disciplinary Procedure (UK)

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Also note: This is not legal advice.

Introduction

Ensuring a well-structured disciplinary procedure is paramount in the workplace. It helps protect the rights of employees, ensures productivity and safety, and protects employers from potential legal issues.
The Genie AI team has developed a framework for this crucial requirement to help ensure that employees are treated fairly, that their rights are respected and upheld. A disciplinary procedure outlines expectations for employees and provides a clear process for addressing any misconduct swiftly and efficiently. Employers can demonstrate they have taken reasonable steps to deal with instances of misconduct too - protecting them from any potential legal consequences of not having such a procedure in place.

This critical aspect of work also serves to provide an additional layer of security - ensuring the safety of everyone in the workplace by dealing with instances of misconduct promptly and enforcing set procedures such as those related to health & safety regulations. In short, having an effective disciplinary procedure is essential; it gives all parties involved peace of mind in knowing their rights will be safeguarded and respected should any situation arise requiring attention or action.

The Genie AI team has created an extensive open source library to help employers create high quality legal documents without needing a lawyer or paying for one. By leveraging both its own dataset as well as community templates, anyone can easily draft or customize documents such as market-standard disciplinary procedures quickly – making sure all bases are covered when putting this vital plan into effect within your organisation or business . So why not read on below for our step-by-step guidance on how best to develop a comprehensive disciplinary procedure? You can also find out more information today on how you can access our template library directly!

Definitions (feel free to skip)

Equality Act 2010: A UK law that prohibits discrimination and harassment on the basis of protected characteristics, such as age, sex, race, and disability.

Employment Rights Act 1996: A UK law that sets out the rights and responsibilities of employers and employees in the workplace.

ACAS: A UK government organisation that provides advice, guidance, and arbitration on employment rights and issues.

Case law: The set of legal rulings and precedents established by decisions in court cases.

Disciplinary procedure: A set of processes and procedures that outline how to respond to employee misconduct.

Criteria: Standards or requirements that must be met.

Training plan: A detailed plan that outlines how training will be delivered and what topics will be covered.

Logging: Recording information in a system.

Appeals process: A set of steps that allow employees to challenge disciplinary action taken against them.

Review process: A set of procedures used to ensure that a process is regularly updated.

Monitoring: Observing and analyzing something to ensure that it is being implemented correctly.

Evaluating: Examining something to assess its effectiveness.

Contents

• Understanding UK Laws and Regulations
• Research relevant legislation and guidelines
• Assess relevant case law
• Developing a Disciplinary Procedure
• Identify the necessary elements of the procedure
• Draft a policy
• Defining The Scope of the Procedure
• Identify the relevant roles and teams
• Determine who the procedure applies to
• Writing the Procedure
• Draft a disciplinary procedure
• Document any relevant criteria
• Training Employees on the Procedure
• Develop a training plan
• Deliver the training
• Documenting Disciplinary Actions
• Establish a system for logging disciplinary actions
• Record all disciplinary action taken
• Creating Appeals Processes
• Draft an appeals process
• Determine the relevant steps
• Reviewing and Updating the Procedure Regularly
• Set up a review process
• Make changes to the procedure as needed
• Monitoring Compliance
• Monitor compliance with the disciplinary procedure
• Make adjustments as needed
• Evaluating the Procedure
• Analyse the effectiveness of the procedure
• Make changes to the procedure as needed

Get started

Understanding UK Laws and Regulations

• Read up on the UK Employment Rights Act 1996 and the Equality Act 2010
• Familiarize yourself with the UK Acas Code of Practice on Disciplinary and Grievance Procedures
• Understand the legal principles of natural justice and fair treatment of all employees
• Understand the legal implications of any disciplinary procedure you devise
• When you feel confident that you understand the relevant UK laws and regulations, you can check this off your list and move on to the next step.

Research relevant legislation and guidelines

• Read through any relevant UK employment legislation, such as the Employment Rights Act 1996 and the Equality Act 2010, and make a note of any key points
• Familiarise yourself with any guidance from the Equality and Human Rights Commission or ACAS
• Research any relevant case law to understand how similar issues have been handled in the past
• Make a note of any key decisions or outcomes from any case law
• When you have a good understanding of the relevant legislation, case law and guidance, you can move on to the next step.

Assess relevant case law

• Read all applicable case law to ensure you understand the legal principles behind the relevant legislation and guidelines
• Look for any relevant case law that could influence the way you develop your disciplinary procedure
• Summarize key points from the case law in order to inform the development of your disciplinary procedure
• Make a note of any other resources, such as tribunals or legal papers, that could help inform your disciplinary procedure
• When you feel you have a good understanding of the legal principles behind the relevant legislation and guidelines and have identified any relevant case law, you can check this off your list and move on to the next step.

Developing a Disciplinary Procedure

• Choose an appropriate format for the disciplinary procedure (e.g. written document, checklist, flow chart)
• Outline the procedure, including the steps to follow, e.g. verbal warning, written warning, final written warning
• State the desired outcome of the procedure (e.g. improvement in behaviour, change in attitude)
• Set out the possible sanctions that may be applied (e.g. demotion, suspension, dismissal)
• Clarify the process for conducting a disciplinary hearing
• Clearly state that the employee has the right to representation
• Set out the appeals process

When you have outlined the procedure and identified the necessary elements, you can move on to the next step.

Identify the necessary elements of the procedure

• Research UK laws and regulations to understand the legal requirements for disciplinary procedures
• Identify the key steps for the disciplinary procedure and document them in a policy
• Include information on the disciplinary process such as time frames, who to contact, and the potential outcomes
• Describe the purpose of the procedure in a clear and concise manner

Once you have identified the necessary elements of the procedure and documented them in the policy, you can move on to the next step: Draft a policy.

Draft a policy

• Define the purpose of the policy and the disciplinary procedure
• Outline the company values and the expected standards of behaviour
• State the principles which the disciplinary procedure will follow
• Explain the disciplinary action that can be taken and the circumstances in which it will be taken
• Make sure the policy is easily accessible to all employees
• Check that the policy complies with employment law and health and safety regulations
• Once the policy has been drafted, review it with a legal professional to ensure it is compliant
• Once the policy is finalised, make sure it is communicated to all employees
• Once all employees have been informed of the policy, make sure it is understood and accepted by all parties

You will know you have completed this step when the disciplinary policy has been drafted and reviewed by a legal professional.

Defining The Scope of the Procedure

• Analyze the organizational structure to determine which roles and teams should be included in the disciplinary procedure
• Decide which employees should be covered by the procedure
• Decide which types of employee behavior should be addressed in the procedure
• Draft a definition of the scope of the disciplinary procedure
• Check with legal counsel to ensure the scope of the procedure is appropriate and compliant with applicable laws
• When the scope of the procedure is finalized, you can move on to the next step of identifying the relevant roles and teams.

Identify the relevant roles and teams

• Identify the roles and teams within the organisation that are involved in the disciplinary procedure, such as Human Resources, line managers, and senior management.
• Consult with stakeholders to determine the necessary roles and teams.
• Create a list of the roles and teams that will be involved in the disciplinary procedure.
• Review the list to ensure it is accurate and complete.
• Once you are satisfied that the roles and teams are identified, you can check this off your list and move on to the next step.

Determine who the procedure applies to

• Describe the types of employees who the procedure applies to, e.g. permanent, temporary, part-time, etc.
• Consider whether the procedure should apply to all employees equally or if certain exemptions should be applied
• Consider the roles and teams within the business which should be accountable to the procedure
• Ensure that all employees are aware of the disciplinary procedure and its implications

Once you have determined who the procedure applies to, you can move on to writing the procedure.

Writing the Procedure

• Gather all the information you have gathered in the previous steps
• Write a disciplinary procedure that outlines the process and expected outcomes
• Include the roles of managers, HR, and employees
• Specify the expectations of their behaviour
• Make sure that the disciplinary procedure is consistent and fair
• Once you have written the procedure, have it reviewed and approved by senior management
• You will know you have completed this step when the disciplinary procedure has been approved by management.

Draft a disciplinary procedure

• Outline the purpose of the disciplinary procedure
• Describe the process of formal disciplinary action
• Include the steps to be taken during an informal disciplinary process
• State the criteria that must be taken into consideration when deciding on a disciplinary action
• Make a clear distinction between minor and major misconduct
• Explain the consequences of each type of misconduct
• Describe the appeals process
• Allow for the right to representation
• Decide who will be responsible for deciding disciplinary action
• Make sure the procedure is compliant with UK employment law

Once you have outlined the purpose of the disciplinary procedure, described the process of formal disciplinary action, included the steps to be taken during an informal disciplinary process, stated the criteria that must be taken into consideration when deciding on a disciplinary action, made a clear distinction between minor and major misconduct, explained the consequences of each type of misconduct, described the appeals process, allowed for the right to representation, decided who will be responsible for deciding disciplinary action, and made sure the procedure is compliant with UK employment law, you can check off this step and move on to the next step.

Document any relevant criteria

• Consult with your legal team to identify any relevant laws and regulations that must be followed
• Determine criteria that should be considered when determining if an employee’s behaviour warrants disciplinary action, such as severity of the infraction and employee’s disciplinary history
• Make sure the criteria is reasonable and that it can be applied fairly to all employees
• Document the criteria in the disciplinary procedure
• Check off this step once the criteria is documented in the disciplinary procedure.

Training Employees on the Procedure

• Establish a timeline for when you will provide training to employees on the disciplinary procedure
• Decide how you will communicate the procedure and its components to employees (e.g. presentation, handouts, emails, etc.)
• Develop a training plan that outlines what you will cover in the training and how long it will take
• Ensure all employees have an opportunity to receive training on the disciplinary procedure
• Consider making the training mandatory for all employees
• Confirm that employees understand and are comfortable with the disciplinary procedure
• When all employees have received training, you can check this step off your list and move on to the next step: Develop a training plan.

Develop a training plan

• Create a checklist of all topics to be covered during training
• Research and source any training materials that may be required
• Plan out the training sessions and decide who will deliver them
• Schedule the training sessions and arrange any required facilities
• Notify personnel of the training and ensure they attend
• When all training sessions have been delivered, check off this step from your list and move on to Deliver the training.

Deliver the training

• Hold the training sessions you planned in the previous step
• Invite all relevant staff members who need to be trained
• Provide a copy of the disciplinary procedure to all attendees
• Explain the main elements of the procedure, including the disciplinary process and sanctions
• Answer any questions attendees may have
• Ensure that all participants understand the process
• Have each participant sign a document acknowledging that they have read and understood the disciplinary procedure

Once all staff members have been trained and have signed the acknowledgement document, you can move on to the next step.

Documenting Disciplinary Actions

• Ensure that all disciplinary action taken is properly documented, including date, the nature of the incident, any action taken, and any agreement reached with the employee
• Document the meeting details, including any warnings, in the employee’s personnel file
• Make a copy of the documentation and provide it to the employee
• Ensure that all documentation is properly stored and kept confidential
• You can check this off your list when the documentation is complete and filed in the employee’s personnel file.

Establish a system for logging disciplinary actions

• Establish a consistent record keeping system for tracking disciplinary action
• Use a dedicated log or document to record each step of the disciplinary process
• Include the employee’s name, date, and details of the disciplinary action taken
• Ensure that all staff have access to the disciplinary log
• Ensure that the disciplinary log is regularly updated
• Check that the disciplinary log is in line with GDPR and other relevant laws
• Once the system is established and regularly updated, this step can be considered complete.

Record all disciplinary action taken

• Document all disciplinary action taken, including the date, the incident, and any follow-up action
• Ensure all disciplinary action is recorded in the disciplinary log, including any verbal warnings
• Record any final written warnings or dismissals in the disciplinary log
• When the disciplinary action is complete, check it off your list and move on to the next step.

Creating Appeals Processes

• Decide who will hear appeals and ensure they are impartial and unbiased
• Set out the appeals process in writing, detailing the timeframes, who will hear the appeal and the grounds on which an appeal can be based
• Ensure that staff are made aware of the appeals process, and how they can access it
• Allow a reasonable amount of time for an appeal to be lodged
• Ensure that the appeals process is in line with the ACAS Code of Practice
• Ensure that all appeals are heard in a timely manner
• Create a record of any appeals made

You can check this off your list when you have created the appeals process in writing, ensured that staff are aware of it, and created a record of any appeals made.

Draft an appeals process

• Outline the appeals process in an easy-to-understand manner, including details of the procedure and timeframes
• Consider whether the appeals process should be heard by a different person than the one who imposed the disciplinary action
• Define the roles and responsibilities of those involved in the appeals process
• Identify what type of evidence should be presented in the appeals process
• Determine the timeframe for when the appeals process should be completed
• Once the appeals process has been fully drafted, get it approved by senior management before implementing it
• Once the appeals process is approved and implemented, you can check this off your list and move on to the next step.

Determine the relevant steps

• Identify the issues that require a disciplinary procedure and the actions that can be taken to address those issues
• Determine the steps to be taken when an employee is facing disciplinary action
• Consider the guidelines and regulations relating to disciplinary procedures in your country or region
• Decide on the severity of disciplinary actions that can be taken and any associated consequences
• Make sure any disciplinary action taken is fair and consistent
• When determining the steps, ensure that employees have the right to appeal any decisions
• Write down the steps you have determined for the disciplinary procedure
• When complete, review the draft disciplinary procedure to ensure it is compliant with local laws and regulations
• Check off this step from your list and move on to the next step of reviewing and updating the procedure regularly.

Reviewing and Updating the Procedure Regularly

• Set up a review schedule for the procedure, preferably at least once a year
• Ensure any changes to the procedure are discussed with relevant stakeholders
• Document any changes to the procedure and make sure they are communicated to all relevant parties
• Check if any new legislation or regulations have been introduced that require updating the procedure
• Check whether any changes in the workplace environment or culture have an impact on the procedure
• Once all changes have been applied and documented, review the procedure to make sure it is up-to-date and complete
• When the procedure has been updated, check this off your list and move on to the next step.

Set up a review process

• Assign an individual or team to review the disciplinary procedure regularly.
• Establish a timeline for when the review process should take place.
• Create feedback forms or surveys to assess the effectiveness of the procedure and develop a plan of action to implement any necessary changes.
• Ensure that the disciplinary procedure is regularly updated to reflect the latest legal requirements.
• Once the review process is completed and the necessary changes are implemented, the review process can be checked off the list and the next step can be completed.

Make changes to the procedure as needed

• Review the disciplinary procedure regularly to ensure it remains up-to-date with any changes in the law or your organisation’s policies
• Consult with a solicitor or legal professional to ensure the disciplinary procedure complies with relevant legislation
• Modify the disciplinary procedure accordingly to ensure it is legally compliant
• Once the changes have been made, make sure all employees are aware of the updates to the disciplinary procedure
• Confirm that the disciplinary procedure is being followed correctly by conducting regular audits
• When all changes have been made, you can move on to the next step of monitoring compliance

Monitoring Compliance

• Monitor employee’s response to the disciplinary procedure, to ensure they understand, accept, and are compliant with it.
• Monitor employee’s behaviour and performance and take action as necessary.
• Document any action taken and keep records of any disciplinary meetings and decisions.
• If necessary, follow up with the employee to ensure they are following the disciplinary procedure.
• Ensure the disciplinary procedure is being applied consistently and fairly across the organisation.

When you can check this off your list and move on to the next step:

• When you are confident that the disciplinary procedure is being monitored and applied consistently, and that employees are aware of and compliant with it.

Monitor compliance with the disciplinary procedure

• Monitor staff adherence to the disciplinary procedure.
• Make sure that staff know and understand the disciplinary procedure.
• Ensure that staff are carrying out the procedure as it is laid out.
• Check if staff are following the disciplinary procedure correctly.
• Make sure that disciplinary decisions are consistent and applied in a fair manner.
• Record any compliance issues and take appropriate action.
• Ensure that staff are treated fairly and with respect during the disciplinary process.

Once you have monitored staff compliance with the disciplinary procedure, you can move on to the next step.

Make adjustments as needed

• Review the disciplinary procedure regularly to ensure it remains fair, up to date and relevant.
• Consult with other stakeholders (such as HR, legal, trade unions or employee representatives) as needed to make any adjustments to the disciplinary procedure.
• Update the disciplinary procedure with the changes and notify all employees of the changes.
• Provide employees with a copy of the updated disciplinary procedure.
• Ensure employees have a clear understanding of the changes.
• When you have reviewed the disciplinary procedure and made any changes, check this off your list and move on to the next step.

Evaluating the Procedure

• Review the disciplinary procedure to ensure it is reasonable, effective, and fair
• Check to ensure that it adheres to company policies and any relevant legislation
• Verify that the procedure outlines the appropriate sanctions for different minor and major offences
• Assess if the process allows for appeals and reviews
• Ensure that the procedure is clearly communicated to all employees
• You can check this step off your list when you are confident that the disciplinary procedure is reasonable, effective, and fair and adheres to all company policies and relevant legislation.

Analyse the effectiveness of the procedure

• Review the current procedure, noting any issues or areas of improvement
• Ask employees for feedback on the existing procedure and any potential areas of improvement
• Assess the effectiveness of the existing procedure, looking at areas such as consistency of implementation, fairness, clarity and timeliness
• Analyse the feedback to identify any common themes or areas of improvement
• Once the analysis is complete, make a note of the changes that need to be made

Once the analysis is complete, you can move onto the next step of making changes to the procedure as needed.

Make changes to the procedure as needed

• Review the current disciplinary procedure and consider any changes that need to be made
• Consult with management, HR, and legal teams to ensure the disciplinary procedure is compliant with UK law
• Ensure the procedure covers all areas of misconduct, including gross misconduct
• Amend the procedure as needed to ensure it is up to date and compliant with current legislation
• Once any changes have been made, check that the procedure is suitable and up to date
• Make sure all relevant staff have been informed of any changes to the disciplinary procedure
• Publish the updated disciplinary procedure and ensure it is available to all employees

FAQ:

Q: How does UK employment law differ from other jurisdictions?

Asked by John on October 5th 2022.
A: UK employment law is heavily influenced by European Union (EU) regulations, and is subject to change depending on the decisions of the UK government and EU. Generally, the rights of employees in the UK are more generous than in some other jurisdictions. Most notably, the right to paid holidays is guaranteed in the UK, while in some other countries this may not always be the case. Additionally, in the UK there are specific laws protecting employees from discrimination and unfair dismissal, while these may not be present in other jurisdictions.

Q: What should a disciplinary procedure include?

Asked by Emma on April 10th 2022.
A: A disciplinary procedure should include a clear set of rules about acceptable behaviour and expectations for employees. It should also detail how any breaches of the rules will be addressed. In addition, it should set out any applicable sanctions that can be applied to those who breach the rules and how any appeals process will work. It is also important to ensure that any disciplinary procedure is fair and consistent, so that all employees are held to the same standards of conduct. Finally, it should be made clear to all employees that any disciplinary action taken is confidential and not discussed outside of the workplace.

Q: Are there any specific laws I need to be aware of when creating a disciplinary procedure?

Asked by Sarah on June 25th 2022.
A: Yes, there are a number of laws that you need to take into account when creating a disciplinary procedure. Firstly, you should ensure that your procedure complies with all relevant employment law including the Employment Rights Act 1996, the Equality Act 2010 and any regulations from the European Union or relevant government departments. Secondly, you must ensure that your disciplinary procedure does not discriminate against any protected characteristics such as race or gender. Finally, your procedure should provide for an appeals process for employees who feel that they have been treated unfairly or unjustly.

Q: What sort of sanctions can I apply as part of my disciplinary procedure?

Asked by William on August 15th 2022.
A: Sanctions can vary depending on your particular business model and sector but typically they could include verbal warnings, written warnings, suspension without pay or dismissal. Before applying any sanction, it is important to ensure that you have conducted a thorough investigation into any alleged misconduct and followed a fair process. Sanctions should also be proportionate to the misconduct committed, taking into account an employee’s personal circumstances as well as any mitigating factors. Finally, it is important to ensure that any sanctions are applied consistently across all employees for similar misconduct.

Q: What legal advice should I seek before implementing my disciplinary procedure?

Asked by Elizabeth on February 10th 2022.
A: It is always best practice to seek legal advice before implementing a disciplinary procedure as this will help ensure that your process complies with all relevant laws and regulations. You may wish to consult an experienced employment lawyer who can advise you on the correct procedures for conducting an investigation into misconduct and applying sanctions such as suspension or dismissal. They can also help you ensure that your process protects any employee rights under UK law or EU regulations and ensures fairness throughout the entire process.

Q: What are some best practices when creating a disciplinary procedure?

Asked by Jacob on December 20th 2022.
A: When creating a disciplinary procedure it is important to make sure that it is fair, transparent and consistent in its application across all employees. It should be clearly outlined in writing so that all employees know what behaviour is expected of them and what sanctions can be applied if their behaviour falls short of these expectations. It is also important to ensure that any investigations into misconduct are carried out thoroughly and impartially with due regard given to an employee’s personal circumstances before making a decision on appropriate action. Finally, it is essential that an appeals process is included in your disciplinary procedure so that employees have an avenue through which they can challenge any decisions made about them if they feel they have been treated unfairly or unjustly.

Example dispute

Discrimination in the Workplace

• The plaintiff may raise a lawsuit referencing a disciplinary procedure if they believe they have been discriminated against in the workplace.
• This could be due to a disciplinary procedure being applied differently to the plaintiff than to other employees, or for other reasons such as gender, race, sexual orientation, or religious discrimination.
• The plaintiff would need to provide evidence that the disciplinary procedure in question was applied differently because of their protected class.
• They would need to demonstrate that the disciplinary procedure was not applied in a consistent and fair manner to all employees.
• The plaintiff would also have to demonstrate that the discriminatory action caused them harm, such as a loss of income, a demotion, or a transfer to a less desirable position.
• If successful, the plaintiff could be awarded damages, including back pay, reinstatement, and other compensatory damages.

Templates available (free to use)

Disciplinary Procedure Advice To Employee Misconduct
Disciplinary Rules For Use With Disciplinary Procedure And Policy

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