Indicator 3.10.1

by Contact on 8 October 2026

Requirement

How Do I Interpret This Requirement?

The written policy should:
- outline the process for when employees break any rules of the UoC, detailing:
  - what behaviour may trigger disciplinary action
  - the corresponding action to be taken
  - adhere to local legislation and any collective bargaining agreements in place, particularly regarding cases of potential dismissal
  - list who is responsible for decision-making at different levels
  - outline how employees are rewarded for good work and encouraged to improve
  - be accessible and understandable to all employees
- be integrated in company processes through training for supervisors and managers, including:
  - how to communicate effectively
  - carry out any responses in a fair and respectful manner.
Suspension can sometimes be used as a disciplinary action. This period of suspension should always be paid unless:
- suspension for a time is offered to the employee as an alternative to dismissal, this period could be unpaid as long as:
  - the employee has agreed accept this
  - it is not enacted after the event as deduction from wages.

Table 5. Examples of levels of escalation in disciplinary procedures (adapted from SA8000):

Type of infraction | Example of infraction | Example disciplinary action progression / escalation plan / procedure

Minor | Isolated incident of tardiness or minor production errors | 1. Oral warning to employee that his/her conduct or level of performance is unacceptable.

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| | 2. If unsatisfactory performance or conduct continues or becomes more serious, a written warning identifying the details of the infraction that led to the warning. May contain a request for corrective action, a timeline for correction, and the consequences if not complied with.

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| | 3. If the employee fails to improve, a final written warning that documents the continued misconduct or poor performance and explains the consequences of further failure to improve, such as possible suspension or even dismissal.

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| | 4. 4. As a last resort, the employee may be suspended, demoted, or dismissed. The employee is given the opportunity to appeal the decision before such action is taken.

Major | Repeated incidents of tardiness or minor production errors | 1. A written warning to the employee identifying the details of the infraction that led to the warning. May contain a request for corrective action, a timeline for correction, and the consequences if not complied with.

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| Isolated major production error | 2. If the employee fails to improve, a final written warning that documents the continued misconduct or poor performance and explains the consequences of further failure to improve, such as possible suspension or even dismissal.

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| | 3. 3. As a last resort, the employee may be suspended, demoted, or dismissed. The employee is given the opportunity to appeal the decision before such action is taken.

Gross misconduct | – Theft or fraud | 1. The employee may be suspended from work on full pay, while the alleged offence is investigated.

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| – Physical violence or bullying | 2. 2. If, on completion of the investigation and the full disciplinary procedure, the organisation is satisfied that gross misconduct has occurred, the result could be summary dismissal without notice or payment in lieu of notice. However, the employee is given the opportunity to appeal the decision before such action is taken.

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| – Deliberate and serious damage to property |

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| – Serious incapability at work brought on by alcohol or illegal drugs |

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| – – Causing loss, damage, or injury through serious negligence |

Evidence of Implementation

written workplace conduct response policy
training records
records of any disciplinary process.

Auditors Should Confirm

the workplace conduct response policy complies with the ASC Farm Standard’s intention;
employees are aware of the workplace conduct response policy;
employees confirm that the company adheres to their policy and actions are fair;
there are no monetary deductions imposed during the process.

Useful Resources

ACAS statutory Code of Practice on discipline and grievance procedures: <https://www.acas.org.uk/acas-code-of-practice-for-disciplinary-and-grievance-procedures/html>
Auditors can consult with and seek information from competent authorities and interested parties. For example, local worker welfare organisations, NGOs, labour lawyers and civil society.