Discipline Dismissal and Appeals Toolkit

The Discipline Dismissal and Appeals Toolkit is designed to assist you with complying with the framework of existing legislation

The Discipline Dismissal and Appeals Toolkit provides detailed guidance to the complete range of legislation that applies when you want to discipline or dismiss an employee due to misconduct.

As the owner of a small business or manager of a team you have a responsibility to ensure that your expectations both in terms of performance and conduct are met by your employees. Unfortunately, there will be occasions when the conduct or performance of one of your team members will fall below the minimum standard acceptable to you and will remain below this level despite counselling and guidance. In these situations, action within a formal framework will be both necessary and in the interest of all parties.

The challenge for managers is to know when to move from an informal word, to an informal warning, and then to more serious action, if no improvement is seen. The point at which formal procedures need to be initiated is when a minor misdemeanour is repeated in spite of previous attempts to improve the situation without formal action. Some offences will be serious enough to skip the informal stage and, when the procedure allows, it can be possible to skip a formal stage i.e. give a final written warning for a first offence.

There have been many changes to the rights that an employer has to terminate the employment of its staff over the last decade and this toolkit is designed to assist you with complying with existing legislation.

This Discipline Dismissal and Appeals Toolkit is divided by responsibilities so each person can understand the requirements expected of them within their designated role.

  • The Role of Authorising Manager
  • The Role of the Investigating Officer
  • The Role of the Hearing Manager
  • The Role of the Appeal Manager
  • The Role of the Line Manager

Total pages:85
Last updated: August 2023

The Discipline Dismissal and Appeals Toolkit contains the following template documents to support the guidance notes:

Authorising Manager Documents

  • Disciplinary Policy
  • Misconduct Complaint Reliability Checklist
  • Suspension From Work Checklist
  • Suspension Script
  • Notification Of Suspension
  • FAQs Paid Suspension
  • Notification Of Review Of Suspension
  • Confirmation Of Receipt Of Medical Certificate During Period Of Suspension with options to reduce pay to SSP or advice process will be postponed until such time as the employee is well enough to participate.
  • Further Allegation(S) Arising Prior To Investigation
  • Further Allegation Arising From Investigating Interview
  • Commissioning Managers Recommendations
  • Outcome Of Investigation – No Action, Informal Action and Formal Disciplinary Action

Investigating Officer Documents

  • Letter notifying Employee Suspected of Misconduct of Disciplinary Investigation
  • Employee Guidance to Employment Investigations
  • Investigating Managers Report Template
  • Letter to Employee Suspected of Misconduct with Questions
  • Letter Inviting Employee Suspected of Misconduct to investigation interview
  • Checklist for Conducting an Investigatory Interview
  • Interview Tips and Techniques
  • Questioning Techniques
  • Script for Interview with Employee Under Investigation
  • Letter Inviting Witness to investigation interview
  • Guidelines for Delivering Information as a Witness
  • Script for Interviewing Witness
  • Letter to External Witness Requesting Witness Statement
  • Form For Recording The Witness Statement
  • Letter To Witness Following Investigation Interview

Hearing Manager Documents

  • Letter Inviting Employee To Formal Disciplinary Meeting
  • Letter Suggesting Meeting Outside Normal Working Hours
  • Letter Inviting Witness To Disciplinary Meeting
  • Supporting Guide for Witness Attending a Disciplinary Meeting
  • Confirmation of Rescheduled Disciplinary Meeting Due to Companions Non-availability
  • Confirmation of Rescheduled Disciplinary Meeting Due to Business Reasons
  • Letter To Sick Employee Postponing A Disciplinary Meeting
  • Medical Report Consent
  • Letter To Doctor Seeking Advice On Whether Employee Fit To Attend A Disciplinary Meeting
  • Letter To Sick Employee Confirming Disciplinary Meeting Will Go Ahead
  • Letter to Employee Suggesting Meeting is held at an alternative location such as their home or on neutral territory.
  • Letter to Employee Suggesting Meeting is held by telephone or zoom if they think they’re not fit to attend personally.
  • Model Framework for Conducting a Disciplinary Meeting
  • Meeting Agenda
  • Summary of Disciplinary Meeting
  • Letter Confirming Rearranged Meeting Following Failure to Attend
  • Confirmation of Adjournment to Enable Further Investigations
  • Confirmation of Reconvened Meeting Following an Adjournment
  • Outcome Of Disciplinary Meeting – No Formal Action Or Sanction, First Warning, Final Warning, Dismissal With Notice, Dismissal Without Notice, Action Short of Dismissal, Proposed Voluntary Demotion and Dismissal Failure to Attend

Appeal Managers Documents

  • Letter to Employee Requesting Confirmation of Grounds for Appeal
  • Letter to Employee Confirming Appeal Was Submitted Out of Time
  • Invite to Appeal Meeting
  • Appeal Meeting Checklist
  • Appeal Meeting Agenda
  • Summary of Appeal Meeting
  • Outcome of Appeal – Successful, Reduced Sanction and Unsuccessful

Line Managers Documents

  • Invite to Meeting to Develop the Action Plan
  • Template Action Plan
  • Letter Inviting Employee to First Review Meeting
  • Outcome – unsatisfactory progress or satisfactory progress
  • Letter Inviting Employee to Second Review Meeting
  • Outcome – unsatisfactory progress or satisfactory progress
  • Letter Inviting Employee to Final Review Meeting
  • Outcome – unsatisfactory progress and invite to formal disciplinary meeting
  • Outcome – borderline progress with extension of review period
  • Outcome – satisfactory progress

All the supporting materials are created Microsoft Word so you may easily save them to your PC, amend them to suit your business style and then use them time and time again.

Who should buy this package?

  • Those new to the HR function
  • Non specialists, such as Accountants and Directors PA’s with responsibility for HR
  • Office Managers
  • Company Secretaries
  • Owners, Directors and Partners of small and medium sized businesses

How Much Does The Discipline Dismissal and Appeals Toolkit Cost?

Excellent value at only £75.

How To Order Your Discipline Dismissal and Appeals Toolkit

We will send you confirmation of your order and as soon as your payment has cleared you will receive a second email with a link to download your copy of the Discipline Dismissal and Appeals Toolkit.

Green Arrow (150 x 120)

Have a question about the Kea Discipline Dismissal and Appeals Toolkit?

Read about my other HR Toolkits
Call Us