Improving work conduct- Discipline at work

This section gives guidance on how to deal with an individual whose conduct during the course of their employment is unsatisfactory. This may be behaviour to other employees, not complying with work rules, misusing company property etc. A separate section indexed opposite is gives guidance upon improving work performance.

In advance of any issues arising all employers must have written disciplinary procedure in place and have communicated its contents to employees. See sample work conduct procedure indexed opposite (we are quite happy for you to use this for your organisation - provided you have checked its suitability with your professional advisors). At all stages of the disciplinary process a careful written record should be kept. Despite it appearing cumbersome we suggest the following steps as a minimum approach:

Step 1 Should the individual concerned be suspended from work?

Suspension should not be automatic, it is only necessary if there is a clear reason. This could be the well-being of other employees, customer perceptions etc. An alternative is to temporary move the individual to other equivalent duties. Only in exceptional circumstances should someone be suspended without pay. Employers should recognise that suspending someone from work places an emphasis upon them to expedite the disciplinary process. See also separate section investigation.

Step 2 Gathering Evidence

This is not a criminal investigation but nevertheless the employer must be able to demonstrate a systematic approach has been taken. All relevant witnesses should be interviewed. In serious cases written evidence should be gathered and copies provided to the accused person. This stage should preferably be conducted by a mature individual who is not directly concerned with the case and who has the trust of the parties concerned.

Gather all the relevant facts promptly, before memories fade
take statements, collect documents
Be clear about the complaint

What further action is necessary? either:

informal advice and counselling
formal disciplinary action.

. Step 3 Decide upon the possible outcome of the disciplinary action

Once the initial evidence has been collected a decision needs to be taken concerning the possible outcomes of the disciplinary interview. Normally disciplinary matters should be dealt with strictly in accordance with each stage of the disciplinary procedure. But in exceptional circumstances the behaviour may be considered sufficiently serious to jump a stage(s). For example if it is felt the evidence points to gross misconduct the outcome of a first interview might be dismissal (or final written warning) not just a first written warning. Whilst the interviewing manager should always keep an open mind as regards the disciplinary outcome it is only fair to warn the individual if the evidence suggests a final warning or dismissal may occur.

Step 4 Preparing for the Interview

If formal disciplinary action is needed a disciplinary interview should be held. The manager conducting the interview must be aware of the fact they are acting in a quasi-judicial role. They should be careful not to discuss the case with other managers, this particularly applies to more senior managers who may be involved in an appeal.

The manager should ensure that the accused individual has a full written statement of the complaint and that they can be accompanied at the interview if they wish. They should also make it clear the possible outcomes of the interview (see stage 3 above).

Arrange a time for the interview. Give sufficient notice to the individual so that they can make preparation for the interview and if at all possible pick a time convenient for both parties.
Inform the individual in writing the time and date of the interview, the nature of the complaint and that this is a disciplinary interview to which they may be accompanied.
Try and arrange for a second member of management to be present (although not someone who might hear any appeal).

Step 5 The Disciplinary Interview

See page on Disciplinary Interviews.

Step 6 The Decision

Once the disciplinary interview has taken place we suggest the manager concerned should hold a recess (even if for a short time) to decide on the outcome. The reason for the decision should be recorded. Then the individual verbally informed of the decision. This should be followed up on writing with a clear statement of the decision, the reasons for the decision and the fact that the individual can appeal. The written note should also give a timescale for an appeal to be lodged.

Step 5 Appeals

If an appeal is to be held the person holding the appeal must be able to demonstrate their independence from the original decision. This means they must hear the appeal fresh based on the evidence presented to them. It is then very important the person holding the appeal has not discussed the matter in advance. See separate section on appeals. indexed opposite.

Step 6 The Outcome

At each stage the decision should be communicated in writing, giving a full statement of the decision and the reasons.