Managing discipline

Managing discipline

Managing discipline

Managing discipline - in other words, unacceptable behaviour and poor performance - is not something you really want to think about in the early days of taking on staff.

However, you need to be prepared should things not go to plan.

Often, a quiet word early from a manager is enough to sort out a problem over an employee's conduct or performance.

But, if that doesn't work, you need to take action and:

comply with the law

understand the basics for handling discipline

manage a problem over conduct or under-performance from investigating it through to, if necessary, dismissal.

This tool is aimed at small firms, and line and team managers in larger organisations.

Discipline can be about conduct issues or performance issues, and sometimes both.

Conduct issues include insubordination, negligence, using illegal practices, falsifying records, theft, bullying, dangerous behaviour, fighting or hostile behaviour, poor attendance record and/or poor time-keeping.

Performance issues include failing to meet work targets, inadequate quantity of work, missing work deadlines, inaccurate work, wasting work materials, poor customer service, failure or refusal to follow instructions and/or an unwillingness to take responsibility.

Managing discipline - Be prepared and know the basics

Follow the principles set out in the Acas Code of Practice on discipline and grievance.

1.    Investigate what's happened - and that includes talking to the employee about the issue.

2.    Once the investigation is complete, write to the employee with details of the alleged problem

3.    Hold a meeting to discuss it and decide what to do.

4.    After the meeting, write to the employee, this time telling them of the decision, and why, and if it goes against them, that they have the right to appeal.

5.    Should the employee disagree with the outcome, allow them to appeal.

6.    It is good practice to set out this procedure in writing

7.    if you have not already done so, it is good practice to:

8.    write down the basic rules of expected behaviour - these should cover conduct, absence, timekeeping, health and safety, and use of work equipment such as computers, phones and vehicles.

9.    set standards of performance so employees know what is expected of them. For more on managing performance so, hopefully, you never have to go down this disciplinary route, see How to get the best out of your staff, another online tool which is part of this series of guides.

10.  make sure these rules and standards are clear, fair and consistent.

11.  refer to them in the employee's Written Statement of Terms and Conditions of Employment, and say where they can be easily found.

Managing discipline - Do this first: Look into the problem

1.    Investigate the problem to find out what's been going on. Ideally, this should be done by a manager who has not been involved in the matter. But, in a small business, it may have to be done by the owner/manager.

2.    How do I investigate?

3.    Check your company's rules to refresh your memory.

4.    And if it's a new problem - such as the use of social networking websites at work - and you are concerned other staff may get into the same trouble, then, once the case being investigated has been concluded, talk to all staff to ensure they all know what they can and cannot do. Also, include any new rules in a written policy.

5.    Do you feel that you know enough about the problem?

6.    After the investigation, you may feel it best to try again with a quiet word.

7.    Some problems come down to misunderstandings and can be cleared up informally while reminding staff about the company rules.

Managing discipline - Meet the employee and talk it through

1.    Write to the employee.

2.    They need to know what the alleged problem is and the possible consequences

3.    Arrange a suitable time and place for the formal disciplinary meeting, and let them know that they have rights to be accompanied and to appeal against the decision after the meeting

4.    With the letter, give them the facts from the investigation, including written evidence and witness statements, so they can respond. An example of a letter is available from our Disciplining staff useful forms section.

5.    Prepare for the meeting, giving the employee reasonable time to also prepare their own evidence, witnesses and witness statements.

6.    Hold the meeting without unreasonable delay. Give the employee and their companion the opportunity to have their say. Listen carefully. If any unexpected issues come up, you can always pause to find out more and rearrange the meeting.

7.    After the investigation and meeting, decide what to do next.

8.    Write to the employee telling them of your decision.

Managing discipline - Taking action about conduct issues

1.    Disciplinary action for conduct normally takes the form of.

2.    A first written warning saying what the problem is, the change in behaviour needed and how long the warning will last, normally six or 12 months. An example of a letter giving a written warning is available from our Disciplining staff useful forms section

2.

3.    A final written warning if the offence is serious, or there has been insufficient change in behaviour within a set time, or if a further offence of a similar kind has happened. This warning should be for a set time and state the change in behaviour needed and that further misconduct could lead to dismissal. An example of a letter giving a final written warning is available from our Disciplining staff useful forms section

4.    Dismissal or action short of dismissal if the conduct has failed to change to what is needed after a final written warning. Action short of dismissal may include demotion or transfer to another part of the business (depending on what is allowed in their Written Statement of Terms and Conditions of Employment). An example of a letter telling an employee of such action is available from our Disciplining staff useful forms section

5.    Gross misconduct may call for dismissal for a first offence. An example of a letter telling an employee of the intention to dismiss them is available from our Disciplining staff useful forms section.

The effect on a small firm

An incident may have a bigger impact on a small business than it would in a large one. If the impact is seriously harming the business, or you fear it is likely to, you may feel it is fair for a first offence to give a final written warning, instead of a first written warning.

Managing discipline - Taking action about performance issues

Disciplinary action for performance normally takes the form of:

1.    an 'improvement note', not a first written warning. The note should set out the improvements needed within a set time, perhaps, for example, with the help of training or on-the-job coaching, or background reading, and also spelling out the consequences of failing to improve. An example of a letter issuing an improvement note is available from our Disciplining staff useful forms section.

2.    a final written warning if there has been insufficient improvement in standards within a set time and despite measures to help. A mistake, or series of mistakes, may have a bigger impact in a small business than in a large one. On a rare occasion, when the impact is critically harming the business, or you fear it is likely to, you may feel it is fair for a first offence to go straight to a final written warning, if the employee cannot give a satisfactory explanation for the errors. But, generally, you should consider an improvement note first and follow that route. An example of a letter giving a final written warning is available from our Disciplining staff useful forms section.

dismissal or action short of dismissal if the performance has failed to improve after a final written warning. Action short of dismissal may include demotion or transfer to another part of the business (depending on what is allowed in their Written Statement of Terms and Conditions of Employment). An example of a letter telling an employee of such action is available from our Disciplining staff useful forms section