DISCIPLINARY PROCEDURES

There may be times when you consider that an employee’s performance, conduct or other actions are unsatisfactory. In these circumstances, you should take immediate steps to deal with the situation. But before launching into disciplinary procedure, it is best to investigate the situation as thoroughly as possible first. Speak to everyone concerned to gather the facts and then take steps to respond to the situation appropriately.

Standards of conduct

You need to consider what standards your disciplinary procedure will be used to uphold. From these you should draw up rules which set the standard of conduct you expect from your employees. These should be reasonable, non-discriminatory and reflect the needs of your business. It is helpful to consult with your employees prior to imposing any changes.

Your business rules should be clearly communicated to all your employees in a way that they understand. Rules can cover the following:

• standards of work;
• personal appearance;
• conduct;
• timekeeping;
• absence;
• holidays;
• smoking;
• health and safety;
• non-discrimination;
• use of facilities.

You should also set out behaviour that will be treated as ‘gross misconduct’, which is serious enough to lead to dismissal without notice. Examples of gross misconduct may include:

• theft;
• fraud;
• drunkenness or drug abuse;
• bullying;
• gross negligence;
• gross insubordination;
• serious breaches of health and safety;
• wilful damage to property.

Informal procedures

Minor disciplinary offences should be dealt with informally initially, through discussion with the employee concerned. As in the case of grievance procedures, dealing with the situation informally will, in the majority of cases, resolve the situation without further problems. Where you have given an employee an informal verbal warning, let them know that it is not part of the formal disciplinary procedure, but this will be instigated if there is no improvement in the situation. You may decide that your employee needs additional training or coaching to help improve their performance. Keep brief notes about the informal action for future reference and arrange to review the employee’s progress over a period of time.

Series of warnings

Normally a series of warnings should be given prior to dismissal or other form of discipline:

• Informal verbal warning.
• Formal verbal warning (confirm in writing that you have given them a verbal warning).
• Written warning, and possibly a second written warning.
• Final written warning.

If the warning has had no effect on your employee and their misconduct continues, you should move on to the next stage. If your employee’s conduct has improved, you should agree to ‘wipe the slate clean’ of any written warnings after a period of, say, 6 months. If the employee’s conduct has not improved after the final written warning, then you can consider dismissal. Gross misconduct allows you to dismiss your employee (without notice), with no requirement to follow the above process. However, if you are contemplating dismissing an employee after a series of warnings or after gross misconduct, you must follow the statutory procedure described below.

Statutory disciplinary and dismissal procedure

Your disciplinary procedures must satisfy the requirements of the Employment Act 2002 and be explained in your employees’ terms and conditions of employment. If you are contemplating dismissal of an employee or action such as loss of seniority or pay, you must follow the statutory disciplinary procedure. Failing to do so may result in an employment tribunal judging that a dismissal is automatically unfair and can also increase any compensation by between 10–50%. This procedure has 3 steps:

• Step 1: Set out in writing the reasons for dismissal or other disciplinary action and invite your employee to a meeting to discuss the matter (the employee has the right to be accompanied).
• Step 2: Hold the meeting, (having given your employee reasonable opportunity to consider their response) informing your employee of any decision you have made, and notifying them that they have a right to appeal.
• Step 3: Hold a second meeting to discuss any appeal that the employee may have made and notify them of your final decision.

The appeal meeting need not take place before the dismissal or other disciplinary procedure takes place and it is also possible to suspend employees for serious misconduct prior to Step 2.

Handling disciplinary procedures

Depending on your own background and personality, you may find the prospect of disciplining staff a daunting prospect. If you do feel this way, bear in mind that the situation could become much worse if you do not tackle the issues immediately. Ignoring poor performance or misconduct is likely to cause greater problems in the long run for you, your staff and your business. When you do have to discipline an employee:

• Stay calm.
• Deal with the situation speedily.
• Gather the facts.
• Let the employee have their say.
• Don’t discriminate.
• Be consistent.
• Consider any individual extenuating circumstances.
• Be firm and fair.
• Keep a written record.

Minimising disciplinary problems

Fortunately, disciplinary problems are relatively infrequent occurrences and they can be further minimised by:

• Recruiting the right staff.
• Having a good induction procedure.
• Training staff properly.
• Clearly communicating your expected standards.
• Tackling any issues while they are still minor ones.
• Leading by example.

Staff are an integral part of your business, and good procedures and working practices help ensure that they make a positive contribution.