Discipline At Work
Initiating a disciplinary hearing is one of the most challenging tasks a manager faces. It requires a delicate balance of objectivity, empathy, and strict adherence to the ACAS Code of Practice. Whether dealing with persistent lateness or gross misconduct, having a clear roadmap is the only way to ensure the outcome is fair to the employee and safe for the business
Discipline at Work
Managing Conduct & Harmony
We all want to work in an environment where there are never any employer/employee issues, but regrettably, problems occur. A framework is essential so issues are dealt with in a structured and fair manner.
The overall objective should always be to sort out the problem so that a harmonious way forward can be found. Where this isn’t possible, sanctions may be imposed via a Disciplinary Hearing.
The Golden Rule
Any sanction must be clearly documented. It must state the length of time it applies, the steps the employee must take to address shortcomings, and what steps the employer will take to help (e.g., training opportunities).
The Foundation
The Policy & Principles
The disciplinary procedure should always be found in the employee handbook and referred to in the employment contract. (Normally cross-referenced to a non-legally binding handbook).
Investigation First
No disciplinary action (except suspension) will be taken until all relevant facts have been fully investigated.
Right to Explain
At every step, you will be advised of the problem. You will have the opportunity to explain your case fully before any decision is taken.
Accompaniment
You may be accompanied by a colleague. If under 18, parents/guardians may attend. The colleague acts as a witness or speaker but cannot answer questions for you.
Right of Appeal
You have the absolute right to appeal against any disciplinary penalty imposed.
The Statutory Process
The 3-Step Procedure
Applicable for any small or medium size company, this process ensures you avoid “procedural unfairness.”
Step 1: Invitation
You will be notified in writing as to the alleged breach and invited to attend a meeting to discuss the matter.
Step 2: The Meeting
A hearing where the breach is discussed. You must take all reasonable steps to attend and may be accompanied.
Step 3: The Appeal
Appeals must be put in writing within 5 working days. A further meeting will be held. This is the final stage.
Sanctions
Stages of Disciplinary Action
The level of warning is determined by the seriousness of the offence and any prior valid warnings.
Stage 1: Oral
If conduct does not meet standards. Confirmed in writing. Remains on file for 6 months.
Stage 2: Written
For serious offences or no improvement. Details the complaint. Remains on file for 12 months.
Stage 3: Final Written
If further offences occur. This is the final step. Remains on file for up to 18 months.
Stage 4: Dismissal
Termination of employment. Provided in writing with reasons, termination date, and right of appeal.
Rules & Definitions
Gross vs General Misconduct
Gross Misconduct: Dismissal with or without notice unless substantial mitigating factors exist. (Suspension with pay allowed for investigation, max 5 days).
N.B: Under Employment Act 2002 Regulations, gross misconduct procedures can be streamlined via correspondence.
Section A: Gross Misconduct
Normal consequence: Dismissal.
- Theft, Fraud, or Falsification of records
- Fighting, Assault, or Threatening behaviour
- Deliberate damage or Unauthorised use of property
- Incapacity through alcohol/drugs
- Serious negligence causing loss/injury
- Misuse of computers/electronic systems
- unauthorised disclosure of confidential info
- Refusal to carry out lawful instructions
- Discrimination or harassment (Sex/Race/Disability)
Section B: General Misconduct
Normal consequence: Warning first.
- Failure to perform duties satisfactorily
- Unsatisfactory timekeeping
- Sickness notification failures
- Unacceptable attendance (no medical cause)
- Failure to carry out reasonable instruction
- Behaviour bringing Company into disrepute
- Smoking in a no smoking area
Execution
Preparing & Holding the Hearing
1. How to Prepare
- Gather all facts & documents.
- Carry out full investigation.
- Inform worker in plenty of time.
- Allow 5-day delay if needed.
- Provide witness statements.
- Arrange note-taker.
2. Holding the Hearing
- Introduce everyone.
- Explain the complaint fully.
- Show statements to worker.
- Let worker state their case.
- Summarise main points.
- Adjourn to consider.
3. Informing Decision
- Inform ASAP in writing of:
- The result of hearing.
- Specific improvements required.
- Duration of warning.
- Right of appeal.
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