Disciplinary investigation - Discipline at work

When a disciplinary matter arises, the relevant supervisor or manager should first establish the facts promptly before recollections fade, and where appropriate obtain statements from any available witnesses. It is important to keep a record for later reference. A proper investigation of the alleged misconduct must take place.

In certain circumstances, for example in cases involving gross misconduct, where relationships have broken down or where it is considered there are risks to an employer’s property or responsibilities to other parties, consideration should be given to a brief period of suspension with pay whilst an unhindered investigation is conducted. Such a suspension should only be imposed after careful consideration and should be reviewed to ensure it is not unnecessarily protracted. It should be made clear that the suspension is not considered as disciplinary action.

Having investigated all the facts the manager or supervisor should decide whether to, drop the matter; arrange informal coaching or counselling; or arrange for the matter to be dealt with under the disciplinary procedure.

Minor cases of misconduct and most cases of poor performance may best be dealt with by informal advice, coaching and counselling rather than through the disciplinary procedure. Sometimes managers may issue informal oral warnings - but they need to ensure that problems are discussed with the objective of encouraging and helping workers to improve. It is important that workers understand what needs to be done, how performance or conduct will be reviewed and over what period. Workers should also be made aware of what action will be taken if they fail to improve either their performance or conduct. Informal warnings and/or counselling are not part of the formal disciplinary procedure and the worker should be informed of this.

If the case is considered to be serious enough to invoke the Disciplinary Procedure a preliminary interview should take place with the offending employee before a decision is reached or any disciplinary action taken. At this hearing the employee should have the opportunity to state their case and to answer the allegations that have been made. Wherever possible the hearing should be arranged at a mutually convenient time and in advance of the hearing the worker should be advised of any rights under the disciplinary procedure including the right to be accompanied at the hearing.

When operating disciplinary procedures employers should be particularly careful not to discriminate on the grounds of race, gender or disability, eg, whilst it is not unlawful to take disciplinary action against a pregnant woman for some reason unconnected with her pregnancy it is unlawful sex discrimination and automatically unfair to dismiss a woman on the grounds of her pregnancy.

In the course of a disciplinary case an employee might sometimes raise a grievance about the behaviour of the manager handling the case. Where this happens, and depending on the circumstances it may be appropriate to suspend the disciplinary procedure for a short period until the grievance can be considered. Consideration might also be given, where possible, to bringing in another manager to deal with the disciplinary case. Where the investigating manager may be considered to have already pre-judged the issues. Bear in mind that if the matter goes to an Employment Tribunal they will want to be satisfied that the aggrieved person has been treated in accordance with natural justice.