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Model documents and policies

Downloadable and customisable documents relating to managing discipline. For more information see the employment law pages on Disciplinary procedures.

Contract clause on the right to suspend an employee
Contract clause on the right to suspend an employee
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This contract clause states that the company has the right to suspend an employee on normal pay during an investigation into their conduct or pending disciplinary proceedings.

Letter confirming outcome of disciplinary appeal hearing where original decision is overturned
Letter confirming outcome of disciplinary appeal hearing where original decision is overturned
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This letter to an employee confirms the outcome of a disciplinary appeal hearing where the original decision has been overturned. You should ensure that you provide duplicate copies of this letter to the employee for them to sign and return.
Letter confirming outcome of disciplinary appeal hearing where original decision has been upheld
Letter confirming outcome of disciplinary appeal hearing where original decision has been upheld
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This letter to an employee confirms the outcome of a disciplinary appeal hearing where the original decision has been upheld. You should ensure that you provide duplicate copies of this letter to the employee for them to sign and return.
Letter confirming that a final written warning has expired
Letter confirming that a final written warning has expired
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This letter informs an employee that, following the agreed period of time, a final written warning has now expired meaning the warning will now be disregarded for disciplinary purposes.
Letter confirming that an employee has been given a formal verbal warning for misconduct
Letter confirming that an employee has been given a formal verbal warning for misconduct
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This letter confirms to an employee that they have been given a formal verbal warning for misconduct, which will remain on their file, also stating what is expected of them in future.
Letter confirming that an employee has been given a formal verbal warning for poor performance
Letter confirming that an employee has been given a formal verbal warning for poor performance
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This letter is to confirm to an employee that they have been given a formal verbal warning for poor performance, which will remain on their file, and that they have the right to appeal.
Letter confirming the issuing of a formal or final written warning
Letter confirming the issuing of a formal or final written warning
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This letter should be sent to confirm the issuing of a formal written or final written warning as the result of a disciplinary procedure, detailing the date on which the hearing took place, the details of the investigation, the employee’s contribution (if applicable) and the findings of the process. The letter also outlines that the warning will be placed on the employee’s file for the stated period of time until they meet the standard of conduct or performance detailed in the letter.
Letter confirming the issuing of a formal warning following a hearing for poor performance
Letter confirming the issuing of a formal warning following a hearing for poor performance
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This letter confirms the issuing of a formal warning following a hearing for poor performance. It confirms the time and date of the hearing, the content of the discussion, the standard of performance that is expected, the timescales for improvement, the consequence of insufficient improvement and the right to appeal.
Letter confirming what has been agreed following an informal discussion regarding minor misconduct
Letter confirming what has been agreed following an informal discussion regarding minor misconduct
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This letter confirms to an employee what was agreed at an informal meeting over minor misconduct, detailing what is expected of them in future.
Letter confirming what has been agreed following an informal discussion regarding minor unsatisfactory performance
Letter confirming what has been agreed following an informal discussion regarding minor unsatisfactory performance
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This letter confirms to an employee what was agreed at an informal meeting over minor performance concerns, detailing what is expected of them in future.
Letter following a disciplinary hearing informing the employee that a disciplinary penalty will not be imposed
Letter following a disciplinary hearing informing the employee that a disciplinary penalty will not be imposed
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This letter informs an employee that, following a disciplinary hearing, the company has decided not to impose a disciplinary penalty, but that they are required to improve their conduct.
Letter informing a sick employee of the outcome of a disciplinary hearing that took place in their absence
Letter informing a sick employee of the outcome of a disciplinary hearing that took place in their absence
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This letter has been drafted to inform a sick employee of the outcome of a disciplinary hearing and stating their right to appeal this.
 
Letter informing a sick employee that a disciplinary hearing will proceed in their absence
Letter informing a sick employee that a disciplinary hearing will proceed in their absence
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This letter informs an employee absent due to sickness that a disciplinary hearing will proceed in their absence, that they can ask someone to attend in their place and that they can appeal against the outcome.
Letter informing an employee of the employer's final decision following an appeal against their dismissal where original decision was overturned
Letter informing an employee of the employer's final decision following an appeal against their dismissal
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This letter informs an employee of the outcome of a meeting to appeal against their dismissal, reiterating their grounds for appeal and mitigation and informing them that the decision is to overturn the original sanction.
Letter informing an employee of the employer's final decision following an appeal against their dismissal where original decision is upheld
Letter informing an employee of the employer's final decision following an appeal against their dismissal where original decision is upheld
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This letter informs an employee of the outcome of a meeting to appeal against their dismissal, reiterating their grounds for appeal and mitigation and informing them that the decision is to uphold the original sanction.

Letter informing an employee of the outcome of an appeal hearing regarding poor performance where original decision is upheld
Letter informing an employee of the outcome of an appeal hearing regarding poor performance where original decision is upheld
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This letter confirms to an employee the outcome of an appeal meeting regarding poor performance, including the reasons for their appeal and any mitigating factors, stating that the decision is to uphold the original decision.

Letter informing an employee of the outcome of an appeal hearing regarding poor performance where original decision is overturned
Letter informing an employee of the outcome of an appeal hearing regarding poor performance
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This letter confirms to an employee the outcome of an appeal meeting regarding poor performance, including the reasons for their appeal and any mitigating factors, stating that the decision is to overturn the original decision.
Letter informing an employee suspected of misconduct that an investigation will take place
Letter informing an employee suspected of misconduct that an investigation will take place
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This letter informs an employee that there will be an investigation into allegations of their misconduct, detailing those allegations and saying they will have to attend a meeting to assist with the investigation.
Letter inviting a witness to an investigation meeting
Letter inviting a witness to an investigation meeting
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This letter should be used when inviting a witness to an internal investigation meeting. It covers the meeting details and a request for confirmation of attendance.
Letter inviting an employee to a disciplinary hearing for gross misconduct
Letter inviting an employee to a disciplinary hearing for gross misconduct
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This letter invites an employee to a disciplinary hearing for gross misconduct and states the allegations, explaining the employee's opportunity to answer the allegation, detailing the attendees and seeking confirmation of the employee's availability to attend and right to be represented.
Letter inviting an employee to an investigatory meeting
Letter inviting an employee to an investigatory meeting
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This letter invites an employee to an investigatory meeting. The letter expresses concerns regarding performance and invites the employee to a meeting to explore the issue. It explains the purpose of the meeting and asks for confirmation of attendance. The employee's right to be represented is also mentioned.
Letter inviting an employee to a disciplinary hearing
Letter inviting an employee to a disciplinary hearing
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This letter invites an employee to a disciplinary hearing and states the allegations, explaining the employee's opportunity to answer the allegation, detailing the attendees and seeking confirmation of the employee's availability to attend and right to be represented.
Letter following a disciplinary investigation informing the employee that disciplinary proceedings will not take place
Letter following a disciplinary investigation informing the employee that disciplinary proceedings will not take place
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This letter should be provided to an employee when the decision is taken, after a disciplinary investigation has taken place, that no disciplinary proceedings will follow.
 
Letter inviting an employee to attend a final disciplinary appeal hearing
Letter inviting an employee to attend a final disciplinary appeal hearing
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This letter invites an employee to a final disciplinary appeal hearing, where more than one level of appeal is available to the employee. The letter also outlines the employee’s right to be represented by a colleague or trade union representative.
Letter inviting an employee to attend a meeting to discuss their appeal against dismissal
Letter inviting an employee to attend a meeting to discuss their appeal against dismissal
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This letter invites an employee to a meeting to appeal against their dismissal, reiterating the reasons for their appeal and stating they have the right to be represented..
Letter inviting an employee to disciplinary appeal hearing
Letter inviting an employee to disciplinary appeal hearing
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This letter sets out the process for inviting an employee to a disciplinary appeal hearing, including information on the right to be represented.
Letter postponing a disciplinary appeal hearing
Letter postponing a disciplinary appeal hearing
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This is a template letter to send to an employee informing them that the disciplinary appeal hearing will be rescheduled as it was necessary to postpone the initial meeting.
Letter postponing disciplinary hearing due to employee sickness
Letter postponing disciplinary hearing due to employee sickness
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Send this letter to an employee who is on sick leave in order to postpone or reschedule his or her disciplinary meeting.
Letter regarding witness confidentiality in a disciplinary case
Letter regarding witness confidentiality in a disciplinary case
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This model letter explains the requirements surrounding confidentiality in a disciplinary case to a witness, requiring the witness to sign and return an undertaking to confidentiality and detailing the parties concerned and the implications of breaching the undertaking.
Letter requesting an external witness to provide a witness statement
Letter requesting an external witness to provide a witness statement
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This letter is to request a written statement from an external witness, required for an investigation that may lead to disciplinary proceedings.
Letter rescheduling a disciplinary appeal hearing
Letter rescheduling a disciplinary appeal hearing
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This letter is to inform an employee of the new time and place of a disciplinary appeal hearing that the employee failed to or was unable to attend.
Letter rescheduling a final disciplinary appeal hearing
Letter rescheduling a final disciplinary appeal hearing
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This letter is to inform an employee of the new time and place of a final disciplinary hearing that the employee failed to or was unable to attend or was postponed by the company.
Letter rescheduling a disciplinary hearing
Letter rescheduling a disciplinary hearing
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This letter is to inform an employee of the new time and place of a disciplinary hearing that the employee failed to or was unable to attend or was postponed by the company.
Letter setting out reasons for the dismissal of an employee
Letter setting out reasons for the dismissal of an employee
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Use this letter to give details and confirm the outcome of a disciplinary hearing. The letter also confirms whether or not the employee has to work a notice period and confirms that the employee has the right of appeal against their dismissal.
Letter setting out reasons for the gross misconduct dismissal of an employee
Letter setting out reasons for the gross misconduct dismissal of an employee
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Use this letter to give details and confirm the outcome of a disciplinary hearing. The letter also confirms whether or not the employee has to work a notice period and confirms that the employee has the right of appeal against their dismissal.
Letter suspending an employee
Letter suspending an employee
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This letter informs an employee that they have been suspended. It is for use in cases of potential gross misconduct only.
Letter to a doctor regarding the fitness of an employee to attend a disciplinary hearing
Letter to a doctor regarding the fitness of an employee to attend a disciplinary hearing
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This letter is to ask a doctor their opinion of an employee's fitness to attend a disciplinary hearing, when the employee is absent due to illness.
Letter confirming that a disciplinary sanction other than a warning or dismissal will be imposed
Letter confirming that a disciplinary sanction other than a warning or dismissal will be imposed
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This letter informs an employee that a disciplinary sanction other than a warning or dismissal is being imposed, eg demotion or transfer to other job, and asks them to sign an enclosed letter to accept the changes to their terms of employment.

Absent from work during disciplinary process procedure
Absent from work during disciplinary process procedure
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This policy clarifies the procedure to be followed if an employee is absent from work due to sickness during a disciplinary process. It includes the basic principles to be followed, from the commencement of the disciplinary process, through to absence from a re-arranged appeal meeting.
Disciplinary procedure
Disciplinary procedure
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Companies should use this procedure to help and encourage all employees to achieve and maintain standards of conduct, attendance and job performance. This procedure covers principles, verbal warning, written warning, final written warning, dismissal, gross misconduct, disciplinary investigations, appeals, the appeals hearing, and notes.
Employee charged with criminal offences policy
Employee charged with criminal offences policy
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This policy covers action to be taken by the employer when an employee is charged with a criminal offence. The policy gives guidelines on managing the situation, including bringing the organisation into disrepute, minor motoring offences, criminal offences relating to work activities, dismissal when the employee is later acquitted, offences leading to the required dismissal of the employee, action when the employee is found guilty, but not imprisoned and action on imprisonment of the employee.

Procedure on conducting a disciplinary investigation
Procedure on conducting a disciplinary investigation
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Use this procedure to set out the policy on conducting a disciplinary investigation in the workplace. The procedure confirms the responsibilities of the employee and the company.

 

Stop and search policy
Stop and search policy
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This policy outlines the situations in which the organisation might stop and search those working in the organisation. The policy covers general principles, searching of vehicles, searching of bags, other searches, refusing to allow a search, action to be taken if irregularity is discovered, frequency of searches, recording of searches, and complaints about searches.

Sample improvement plan
Sample improvement plan
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This plan can accompany a disciplinary sanction given to an employee to set out exactly what it is that the employee needs to improve upon. It also permits the inclusion of review dates.

Form to record a disciplinary investigation
Form to record a disciplinary investigation
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The form is designed for the investigating manager to record the details and conclusions of a disciplinary investigation.