Disciplinary interview - Discipline at work

In many cases minor disciplinary matters can be dealt with informally between the employer and employee. But even at that stage it is important to recognise that if matters continue the employer may want to invoke the formal procedure. For that reason the even if the matter is to be dealt with informally the employee should be informed in writing in advance of the meeting that an informal disciplinary hearing will take place, the outcome of which may be an oral warning.

Setting Up The Interview

Wherever possible the interview should be set up at a time and date convenient for both employee and employer. Particular care should be taken if the employee is absent from work on health or other valid reasons. The employee should be advised in writing:

that a disciplinary meeting is to take place giving time and place
who will be present at the hearing
a clear statement of the reason for the hearing
the stage of the disciplinary procedure that the hearing is addressing (first warning oral/ written,
the possible outcome from the hearing
the fact that they can have a friend present with them.

Interview Preparation

The manager conducting the hearing should normally be the employee's line manager - it is important not to escalate up the management chain because more senior managers may be need to be involved at subsequent hearings or appeal(s). An alternative manager should hold the hearing if the line manager is in some way involved in the matter under complaint.

Before the hearing the manager conducting the hearing should gather all the relevant evidence, including obtaining written statements from witnesses. The manager should also study the disciplinary procedure in detail - it is extremely important to stick to the procedures when conducting the interview.

Conducting the Interview

At the disciplinary interview, make sure that:

Start by introducing those present and the purpose of the hearing.
Explain the nature of the complaint.
Review the supporting evidence.
Call witnesses to give their evidence to support the written statements.
Allow the individual to state his/her case (the accompanying person may also put questions and confer privately with the individual, but not answer on their behalf). If necessary permit them to question the witnesses.
Consider and question any explanations put forward.
If any new facts emerge decide whether further investigation is necessary. If so, adjourn the hearing and reconvene when the investigation is complete
Except in very straightforward cases, call an adjournment before making a decision.
Come to a clear view about the facts.
If facts are disputed, decide on the balance of probability which are true.

The manager conducting the hearing should ensure that someone is present to take written notes of the proceedings. Evidence should be presented of the matter under complaint, this may be in the form of written statements or oral evidence from witnesses. Whilst this is not a court of law it should be recognised that natural justice gives the right to question witnesses.

Overall whilst the manager conducting the hearing should ensure the procedure is fair they should also take the role of controlling the procedure - difficulties may arise if a 'friend' representing the individual concerned has more experience and try to dominate proceedings.

Issues to consider

In the light of the disciplinary procedure and before deciding any disciplinary penalty consider:

The seriousness of the offence, and whether the procedure gives guidance.
The penalty imposed in similar cases in the past.
The individual's disciplinary record and general service.
Any mitigating circumstances.
Whether the proposed penalty is reasonable in all the circumstances.
Wherever possible, the prime purpose of the disciplinary procedure is to encourage improvement, not to punish.

The Decision

Having considered those issues:

Make a firm decision.
Document the reasons for that decision
If necessary set a time for performance/ conduct to be reviewed
If a formal warning is given set a time for its application (normally 6-12 months).

Reconvene the disciplinary hearing to:

Inform the individual of the decision and the penalty, if any.
In the case of a warning, explain what improvement is expected, how long the warning will last, and what the consequences of failure to improve may be.
Explain the right of appeal and how it operates.

Records of the action taken

Confirm the disciplinary action to the individual in writing.
Keep a simple record of the action taken for future reference.
Ask the worker to acknowledge receipt of notification of any disciplinary penalty.
If notes were taken at the disciplinary interview, make sure those notes are properly written up. If an appeal is lodged (or if requested) provide the employee with a copy of the notes.

If a warning is given it should tell the employee:

The level of improvement required.
The date by which it is to be achieved.
What will happen if it is not.
How to appeal (in particular the timescales within which an appeal should be made).