Disciplinary Policy Writers

Written by Joanne Hughes, Policy & Compliance Specialist at Policy Pros
Last reviewed: March 2026

What Are Disciplinary Policies?

Disciplinary policies outline how organisations address misconduct, breaches of policy or unacceptable behaviour in a fair, consistent and transparent way. They are a cornerstone of effective people management and work in tandem with your grievance procedures to provide a complete framework for managing workplace conduct.

A clear policy ensures that employees understand the standards expected of them, the consequences of failing to meet those standards, and the procedures that will be followed in disciplinary cases.

The Legal Framework: ACAS Code of Practice and Employment Rights Act 1996

The ACAS Code of Practice on Disciplinary and Grievance Procedures is the primary guidance that employment tribunals consider when assessing whether an employer has acted fairly in disciplinary matters. While the Code is not legally binding, an unreasonable failure to follow it can result in an increase or decrease of any compensation awarded by up to 25 per cent.

The Employment Rights Act 1996 provides employees with the statutory right not to be unfairly dismissed. Section 98 of the Act requires employers to show both that they had a potentially fair reason for dismissal and that they acted reasonably in treating that reason as sufficient for dismissal. The fairness of the procedure followed is a critical factor in this assessment.

The Employment Rights Bill 2025 is set to introduce significant changes to the employment landscape, including proposals to strengthen day-one employment rights. Organisations should ensure their disciplinary policies are reviewed and updated to reflect these changes as they come into force, to avoid the risk of non-compliance.

The Stages of Disciplinary Action

A well-structured disciplinary policy will set out a clear sequence of escalating sanctions. The ACAS Code of Practice recommends that employers follow a staged approach, which typically includes:

• Verbal warning (or first warning) - For minor misconduct or performance issues. The employee should be told the nature of the concern, the improvement expected, and the timescale for review. A record of the verbal warning should be kept on file

• First written warning - If the conduct or performance does not improve, or for more serious matters, a first written warning should be issued. This should set out the nature of the misconduct, the improvement required, the timescale, and the consequences of further misconduct

• Final written warning - Where there has been a further failure to improve, or where the misconduct is sufficiently serious, a final written warning should be issued. This should make clear that any further misconduct may result in dismissal

• Dismissal or other sanction - Dismissal should only be considered as a last resort, except in cases of gross misconduct. Other sanctions may include demotion, transfer, or loss of seniority

Gross Misconduct

Gross misconduct refers to behaviour so serious that it fundamentally breaches the employment contract and justifies summary dismissal without notice. Examples commonly cited in disciplinary policies include theft, fraud, physical violence, serious negligence, serious insubordination, and being under the influence of drugs or alcohol at work.

Even in cases of alleged gross misconduct, the employer must still follow a fair procedure. This means conducting a reasonable investigation, holding a disciplinary hearing at which the employee can state their case, and providing a right of appeal. Failure to follow a fair process, even where the misconduct is serious, can result in a finding of unfair dismissal at an employment tribunal.

The list of acts constituting gross misconduct should be clearly set out in the disciplinary policy, though employers should make clear that the list is not exhaustive and that other acts of a similar gravity may also be treated as gross misconduct.

The Right to Be Accompanied

Under Section 10 of the Employment Relations Act 1999, employees have the statutory right to be accompanied at disciplinary hearings by a trade union representative or a work colleague. The companion has the right to address the hearing and to confer with the employee during the meeting, but does not have the right to answer questions on the employee's behalf.

If the chosen companion is unavailable on the proposed date, the employer must postpone the hearing to an alternative date suggested by the employee, provided it is reasonable and falls within five working days of the original date. Employers should ensure that their disciplinary policy clearly explains this right and the process for exercising it.

Suspension During Investigation

In some cases, it may be necessary to suspend an employee while a disciplinary investigation is carried out. Suspension should not be regarded as a disciplinary sanction and should only be imposed where there are reasonable grounds to believe that the employee's continued presence at work could hinder the investigation or pose a risk to the business, other employees, or the employee themselves.

Suspension should be as brief as possible and should be on full pay unless the contract of employment provides otherwise. The employee should be informed of the reasons for the suspension, its expected duration, and any conditions that apply during the suspension period. ACAS guidance emphasises that suspension should be reviewed regularly and lifted as soon as it is no longer necessary.

Recording and Review

Detailed records should be kept at every stage of the disciplinary process. This includes notes of investigation meetings, disciplinary hearings, the evidence considered, the decision reached, and any appeal proceedings. Good record-keeping is essential both for demonstrating procedural fairness and for defending any subsequent tribunal claim.

Disciplinary warnings should be time-limited. The ACAS Code of Practice suggests that a first written warning should normally remain live for six months and a final written warning for twelve months, after which it should be disregarded for disciplinary purposes. The policy should specify these timescales clearly.

By embedding structured disciplinary processes, organisations can uphold standards of conduct, protect staff wellbeing and maintain a positive workplace culture. To ensure your disciplinary and related HR procedures work together, explore our termination of employment policies and wider policy writing services.

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