Misconduct Procedure and Letter Templates

These templates provide a progressive disciplinary framework for managing alleged misconduct and misconduct by employees. Some serious, inappropriate acts on the part of the employees may be treated as gross misconduct that might result in instant termination of the employment contract (summary dismissal). A separate set of templates may be downloaded at Gross Misconduct Procedure and Letters.

Legal Compliance

These templates are drafted by experienced HR Professionals and solicitors, reflecting good practice and are consistent with UK law (Employment Rights Act 1996) and the ACAS Code of Practice.

They are supported by the Disciplinary Policy and Procedure and the Disciplinary Procedures Guidance Notes.

Acts of misconduct must be dealt with carefully to avoid allegations of disparity in the treatment of employees and minimising the risk of an action for unlawful discrimination, constructive dismissal or procedurally unfair dismissal.

What Do These Templates Cover?

This combination of letters helps to ensure procedural and practical fairness thereby reducing the risk of unfair dismissal claims. They provide for the different stages for managing misconduct from the early and informal interaction between employer and employee, to formal communication and meetings, to escalation of warnings and meetings and then dismissal.

Stage 1: Early and Informal
Invitation to Investigatory Meeting Letter - This template invites employee to a fact-finding meeting, emphasising it is not yet disciplinary action. It states the allegation(s), meeting details, attendees, and data protection reference.
Informal Discussion Letter - This template records an informal conversation about conduct: Lists concerns and agreed improvements; warns repeat may trigger formal action.
Stage 2: Formal
Notice of First Disciplinary Meeting - This template starts formal process after investigation. It explains the allegation(s), hearing logistics, rights to evidence/representation, potential outcomes.
Verbal Warning of Misconduct Letter - This template records in writing a formal verbal warning (also known as a recorded oral warning) following a disciplinary meeting where it was decided that the employee's conduct did not merit a formal written warning.
First Formal Warning Letter - This template confirms the outcome of the disciplinary meeting if the misconduct is felt to justify a first formal warning: it details behaviour, expected improvement, review period, appeal rights.
Notice of Improved Conduct Letter - This template acknowledges conduct improvement post-warning: It reinforces positive behaviour and notes warning expiry.
Stage 3: Escalation
Notice of Second Disciplinary Meeting - This template calls for hearing if misconduct issues persist after first warning: Similar to the first notice, it explains the allegation(s), hearing logistics, rights to evidence/representation, potential outcomes and references prior warning.
Final Formal Warning Letter - This template confirms serious concerns, issues a final formal warning and warns the employee that their employment is at risk: it sets clear standards and timescale and explains consequence of dismissal if no improvement.
Stage 4: Dismissal
Misconduct Notice of Dismissal - This template is used where behaviour remains unsatisfactory after warnings: it confirms termination, notice arrangements, return of property, appeal rights.

A separate set of templates can be downloaded for Gross Misconduct.

Please click on the links below for full details of these misconduct letter templates and to download.

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