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A complete overview of the disciplinary process
Having a disciplinary procedure is not all about disciplining employees. It’s also about working with your staff to maintain high standards of conduct and encouraging people to improve if they fall below these standards.
Unfortunately for employers, it is frustratingly easy to bungle disciplinary procedures. You may have a perfectly valid reason to dismiss, but if you fail to follow a fair procedure, you may still find yourself facing a claim for unfair dismissal.
To avoid finding yourself in front of an Employment Tribunal, here is an overview of the disciplinary process.
Are formal proceedings necessary?
The first question you need to ask yourself is whether you can resolve the issue through informal channels, or whether you need to launch disciplinary proceedings.
For example, you may be confronted with an employee who has committed one minor act of misconduct, such as turning up late to work, but who has always had a good disciplinary record. In this scenario, a quick informal word may be all that’s required to solve the issue and prevent the problem from escalating any further.
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Investigate the alleged misconduct
It is essential that a disciplinary investigation is undertaken to ascertain the facts.
Depending on the complexity of the case, the investigation may last a couple of days or a few weeks. For instance, if you have caught someone taking money out of the till, this may need little investigation. However, if you notice that stock is missing but you have no idea who the culprit is, this may require a longer investigation.
The person running the investigation may need to hold investigation meetings with the employee who is at the centre of the allegations of misconduct, as well as other employees who witnessed the incident(s) or have relevant information. The investigation officer may also need to gather other evidence, such as CCTV and attendance sheets. It is vital is that the investigation considers evidence which both supports and challenges the allegations.
While the investigation is being completed, you may need to consider whether the employee should be suspended on full pay. You can only do this in certain circumstances, for example if you think they continue to pose a risk to your business or that they could tamper with evidence.
Launch disciplinary proceedings
If there appears to be enough evidence to indicate misconduct, you will need to inform the employee of the issue in writing and invite them to a disciplinary hearing.
When notifying the employee, you must give them sufficient information to understand the allegations and what the potential outcomes of disciplinary proceedings could be. You will also need to give them copies of the evidence that will be discussed at the hearing and inform them of their right to be accompanied.
The disciplinary hearing should not be conducted by the same person who carried out the investigation. If you are a small organisation, this can be difficult; WorkNest’s Employment Law Advisers can help you to identify who is the best fit within your organisation. Where necessary, we can even send in HR Consultants to conduct hearings, investigations and appeals on your behalf.
At the disciplinary hearing, you should explain the allegations, go through the evidence, and allow the employee to respond. Once all the evidence has been considered, you should adjourn the meeting to make a decision as to whether disciplinary action is warranted, and what form this should take.
Decide what action to take
When considering what the most suitable sanction is, you need think about what is fair and reasonable. This includes considering how serious the misconduct is, any mitigating circumstances, the employee’s length of service, how similar cases have been dealt with in the past, and whether it is common practice in the workplace.
You may decide to take no action, give a written warning or final warning, dismiss or take other types of action short of dismissal, for example demotion. Actions such as demotion can only be taken if it is expressly included in the employee’s contract of employment and the employee agrees to it.
Is it gross misconduct?
There are some acts which are so serious that they would call for dismissal without notice or pay in lieu of notice for a first offence, for example fraud or violence. These acts are known as gross misconduct and examples should be listed in your disciplinary procedure.
Employers often get caught out thinking they can fire them on the spot, but in fact, you will need to follow a fair procedure.
Manage any appeal
If an employee thinks that the decision you have made is unfair or unreasonable, they may wish to appeal. The person responsible for the appeal should be someone who has not been involved in the investigation or the disciplinary hearing.
The employee should be reminded that they can be accompanied, and after the meeting, you should inform them of the decision in writing. This decision will be final.
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Dealing with a disciplinary situation?
Manage misconduct quickly, effectively and in line with the law with support from qualified Employment Law experts. Our team can guide you through the process, draft employee correspondence, and help you decide what action to take. We also offer proactive solutions, from delivering management training to developing your organisation’s disciplinary policy.
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