SUPER: Discipline NEW

Discipline

Discipline NEW

Discipline

Keys to handling disciplinary issues in the workplace

Establish the facts of each case

It is important to carry out necessary investigations of potential

disciplinary matters without unreasonable delay to establish the facts of

the case. In some cases this will require the holding of an investigatory

meeting with the employee before proceeding to any disciplinary

hearing. In others, the investigatory stage will be the collation of

evidence by the employer for use at any disciplinary hearing.

In misconduct cases, where practicable, different people should carry

out the investigation and disciplinary hearing.

If there is an investigatory meeting this should not by itself result in any

disciplinary action. Although there is no statutory right for an employee

to be accompanied at a formal investigatory meeting, such a right may

be allowed under an employer’s own procedure.

In cases where a period of suspension with pay is considered

necessary, this period should be as brief as possible, should be kept

under review and it should be made clear that this suspension is not

considered a disciplinary action.

Inform the employee of the problem

If it is decided that there is a disciplinary case to answer, the employee

should be notified of this in writing. This notification should contain

sufficient information about the alleged misconduct or poor

performance and its possible consequences to enable the employee to

prepare to answer the case at a disciplinary meeting. It would normally

be appropriate to provide copies of any written evidence, which may

include any witness statements, with the notification.

The notification should also give details of the time and venue for the

disciplinary meeting and advise the employee of their right to be

accompanied at the meeting.

. The meeting should be held without unreasonable delay whilst allowing

the employee reasonable time to prepare their case.

Employers and employees (and their companions) should make every

effort to attend the meeting. At the meeting the employer should

explain the complaint against the employee and go through the

evidence that has been gathered. The employee should be allowed to

set out their case and answer any allegations that have been made.

The employee should also be given a reasonable opportunity to ask

questions, present evidence and call relevant witnesses. They should

also be given an opportunity to raise points about any information

provided by witnesses. Where an employer or employee intends to call

relevant witnesses they should give advance notice that they intend to

do this.

Allow the employee to be accompanied at the meeting

. Workers have a statutory right to be accompanied by a companion

where the disciplinary meeting could result in:

• a formal warning being issued; or

• the taking of some other disciplinary action; or

• the confirmation of a warning or some other disciplinary action

The statutory right is to be accompanied by a fellow worker, a trade

union representative, or an official employed by a trade union. A trade

union representative who is not an employed official must have been

certified by their union as being competent to accompany a worker.

Employers must agree to a worker’s request to be accompanied by any

companion from one of these categories. Workers may also alter their

choice of companion if they wish. As a matter of good practice, in

making their choice workers should bear in mind the practicalities of

the arrangements. For instance, a worker may choose to be

accompanied by a companion who is suitable, willing and available on

site rather than someone from a geographically remote location.

To exercise the statutory right to be accompanied workers must make

a reasonable request. What is reasonable will depend on the

circumstances of each individual case. A request to be accompanied

does not have to be in writing or within a certain timeframe. However, a

worker should provide enough time for the employer to deal with the

companion’s attendance at the meeting. Workers should also consider

how they make their request so that it is clearly understood, for

instance by letting the employer know in advance the name of the

companion where possible and whether they are a fellow worker or

trade union official or representative.

If a worker’s chosen companion will not be available at the time

proposed for the hearing by the employer, the employer must postpone

the hearing to a time proposed by the worker provided that the

alternative time is both reasonable and not more than five working days

after the date originally proposed.

The companion should be allowed to address the hearing to put and

sum up the worker’s case, respond on behalf of the worker to any

views expressed at the meeting and confer with the worker during the

hearing. The companion does not, however, have the right to answer

questions on the worker’s behalf, address the hearing if the worker

does not wish it or prevent the employer from explaining their case.

Decide on appropriate action

After the meeting decide whether or not disciplinary or any other action

is justified and inform the employee accordingly in writing.

Where misconduct is confirmed or the employee is found to be

performing unsatisfactorily it is usual to give the employee a written

warning. A further act of misconduct or failure to improve performance

within a set period would normally result in a final written warning.

If an employee’s first misconduct or unsatisfactory performance is

sufficiently serious, it may be appropriate to move directly to a final

written warning. This might occur where the employee’s actions have

had, or are liable to have, a serious or harmful impact on the

organisation.

A first or final written warning should set out the nature of the

misconduct or poor performance and the change in behaviour or

improvement in performance required (with timescale). The employee

should be told how long the warning will remain current. The employee

should be informed of the consequences of further misconduct, or

failure to improve performance, within the set period following a final

A decision to dismiss should only be taken by a manager who has the

authority to do so. The employee should be informed as soon as

possible of the reasons for the dismissal, the date on which the

employment contract will end, the appropriate period of notice and

their right of appeal.

Some acts, termed gross misconduct, are so serious in themselves or

have such serious consequences that they may call for dismissal

without notice for a first offence. But a fair disciplinary process should

always be followed, before dismissing for gross misconduct.

Disciplinary rules should give examples of acts which the employer

regards as acts of gross misconduct. These may vary according to the

nature of the organisation and what it does, but might include things

such as theft or fraud, physical violence, gross negligence or serious

insubordination.

Where an employee is persistently unable or unwilling to attend a

disciplinary meeting without good cause the employer should make a

decision on the evidence available.

Provide employees with an opportunity to appeal

Where an employee feels that disciplinary action taken against them is

wrong or unjust they should appeal against the decision. Appeals

should be heard without unreasonable delay and ideally at an agreed

time and place. Employees should let employers know the grounds for

their appeal in writing.

The appeal should be dealt with impartially and, wherever possible, by

a manager who has not previously been involved in the case.

Workers have a statutory right to be accompanied at appeal hearings.

Employees should be informed in writing of the results of the appeal

hearing as soon as possible.

Special cases

. Where disciplinary action is being considered against an employee who

is a trade union representative the normal disciplinary procedure should

be followed. Depending on the circumstances, however, it is advisable

to discuss the matter at an early stage with an official employed by the

union, after obtaining the employee’s agreement.

. If an employee is charged with, or convicted of a criminal offence this is

not normally in itself reason for disciplinary action. Consideration needs

to be given to what effect the charge or conviction has on the

employee’s suitability to do the job and their relationship with their

employer, work colleagues and customers.

Keys to handling grievances in the workplace

Let the employer know the nature of the grievance

If it is not possible to resolve a grievance informally employees should

raise the matter formally and without unreasonable delay with a

manager who is not the subject of the grievance. This should be done

in writing and should set out the nature of the grievance.

Hold a meeting with the employee to discuss the grievance

. Employers should arrange for a formal meeting to be held without

unreasonable delay after a grievance is received.

Employers, employees and their companions should make every effort

to attend the meeting. Employees should be allowed to explain their

grievance and how they think it should be resolved. Consideration

should be given to adjourning the meeting for any investigation that

may be necessary.

Allow the employee to be accompanied at the meeting

Workers have a statutory right to be accompanied by a companion at a

grievance meeting which deals with a complaint about a duty owed by

the employer to the worker. So this would apply where the complaint

is, for example, that the employer is not honouring the worker’s

contract, or is in breach of legislation.