Taking disciplinary action

Of course, there are many circumstances where an informal ‘word’ is more appropriate than formal disciplinary action. You must use your own judgement to decide what action is appropriate.

However, you should not be afraid to take disciplinary action where it necessary, otherwise you risk undermining your own authority, demoralising the rest of your team, alienating customers or suppliers and generally damaging your business. Also delaying too long may demonstrate acceptance of wrongdoing, which may inhibit taking action later.

All businesses with employees are well advised to have written disciplinary procedures. If you do not, it will for example be virtually impossible to demonstrate that you have made clear to all team members what represents ‘gross misconduct’ and consequently it would be doubtful whether you could dismiss anyone instantly, even in extreme circumstances.

ACAS (Arbitration and Conciliation Advisory Service) suggest that procedures should:

Be in writing

Specify to whom they apply

Provide for matters to be dealt with quickly

Specify what disciplinary action may be taken

Say what level of management has authority to take which disciplinary actions

Provide for individuals to be informed of the complaint against them and be given an opportunity to put their point of view before decisions are made.

Give individuals the right to be accompanied at disciplinary discussions by a trade union representative or a fellow employee of their choice.

Ensure that, except for gross misconduct, employee cannot be dismissed on first formal notice of a breach of discipline.

Ensure that no disciplinary penalties are imposed until the case has been fully investigated.

Ensure that employees are given an explanation for any penalties imposed.

Provide a right of appeal, and state the procedure to be followed.

Give all employees a copy of the formal disciplinary procedures and any other rules.

Make sure the procedures are clearly worded and easily understood.

Make all the members of your team aware of what performance standard you expect from them as being reasonable.

Before you start disciplinary procedures, ask yourself

Are you sure an offence has been committed?

Is the offence ‘misconduct’ or ‘poor job performance’?

Might the person be unaware that you view their action or performance as an offence?

If misconduct took place outside the work place, does it represent misconduct according to the disciplinary procedures?

Consider the evidence, is it direct or is it hearsay?

If hearsay, how many people? What trust do you place in that person or persons?

Consider how that evidence might stand up if cross examined by an Industrial Tribunal?

Are there any extenuating circumstances?

If the offence is ‘poor performance’

Have you made clear to the individual what level of performance is acceptable?

What evidence do you have to show this?

Is performance expressed in non subjective terms ie in terms that can be measured such as quantities or time?

Has appropriate training been provided?

Have appropriate resources been provided? Eg staff, equipment, materials?

Does the individual have personal or medical problems?

Has there been a change in the individuals’ long term standard of working? If so, do you know why?

Has this individual or other team members been allowed to ‘get away’ with this standard of work in the past?

What does the individual have to say? Do they claim extenuating circumstances?

If the offence is one of misconduct, consider carefully how this should be dealt with.

Your disciplinary procedures might define the following as ‘gross misconduct’

Theft or attempting to defraud your business, including the acceptance of bribes

Theft from fellow employees

Theft or attempting to defraud customers or suppliers

Sexually harassing fellow employees

Violating equal opportunities policy/legislation

Deliberately damaging business property

Physical assault on another employee

Flagrant refusal to abide by the terms of the contract of employment.

Instant dismissal is not advisable, even in extreme circumstances. A wiser course of action is suspension on full pay whilst the matter is fully investigated (which you should then attempt to deal with swiftly).

The next stages are to hold a disciplinary interview, to then advise the employee what action you propose to take, and to advise the employee of his right to appeal.