Disciplinary Guidance Notes If English isn’t the employee’s first language, check their understanding or

offer a translator in any of the meetings including any investigation meetings. You may need to check their understanding of any written word.

If represented check that the representative has the right to be present, i.e. Trade Union or work colleague approval. Most Trade Union representatives will have some form of identification. If you are unsure whether the trade union representative has a right to be at the meeting, you can always verify with the union branch.

Offer reasonable adjustments for disabled employees. This could be allowing them more time to read through information, more preparation time, Loop system or similar in the meeting.

In most cases, you would not use the disciplinary process whilst the employee is in their probationary period. You would normally deal with any concerns or issues in a probationary review. After two years’ service the employee has additional rights, therefore should be treated more cautiously. However, this does not mean that the procedure should not be followed.

Consider whether a full investigation is needed for straight forward cases. The employee would still need to be invited to a disciplinary hearing and provided with any information you intend to rely upon i.e. attendance reports. They should be given opportunity to put forward their case.

Investigate fully without delay for complex cases.

Consider suspension of employee if an investigation would be compromised and for reason of protection or if the allegation, if founded, could result in dismissal. Suspension is considered to be a neutral act and the employee is suspended on full pay. At any suspension meeting you need to reiterate the importance of confidentially and that the person still has to comply with the company policies and procedures. Use the Suspension Guidelines.

Following the suspension meeting, confirm this in writing and consider what other employees might be told regarding this person’s absence. Identify the named contact officer, investigating officer and give consideration to who may Chair the meeting. During any suspension period progress should be reviewed and consideration given as to whether the suspension needs to be lifted depending on the evidence gathered.

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Consider what evidence you need such as collecting witness statements, emails, relevant records/reports, CCTV footage or any other information which will help a thorough and transparent investigation. Any evidence will have to be shared with the employee if invited to a disciplinary meeting.

Have there been any previous offences?

Review their personnel file.

Refer to previous performance/conduct conversations. If a person has already had a formal sanction on file, it may mean that the person chairing the hearing has to consider issuing them with the next level of sanction.

Pull together the investigation report utilising the Investigation Report Template and guidance notes. The information in the report should be based on the evidence you have gathered and should be factual, highlighting any mitigating factors e.g. lack of procedural guidance, management action or expected documentation and any other actions / behaviours which may have compounded or aggravated the situation. Refer to relevant policies, i.e. absence management, business conduct & work rules.

If after an investigation has been completed and a decision is made that there is no case to answer, the employee should be informed in writing. Even though no formal action is being taken you need to consider whether the employee does require any kind of support i.e. training, closer supervision. If the employee has been suspended, you must lift the suspension immediately.

Give notice of the requirement to attend formal meetings (a minimum of 48 hours’ or 2 working days’ notice) in writing. The letter should outline the right to be accompanied either by a trade union representative or a work colleague. You should also include who will be present at the meeting including any witnesses. Send out the full disciplinary pack to the employee with the invite letter. You cannot introduce new information at the meeting, all evidence upon which you intend to rely must be sent to the employee in advance of the meeting.

At any disciplinary meeting, you should follow the Disciplinary Hearing script. The investigating officer should present the management case and the employee should have an opportunity to ask questions of the investigating officer, if they wish to. The employee should then state their case. Depending on the nature of the hearing, you may wish to call for an adjournment to consider all the information before giving a decision. In complex cases this is advisable

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to ensure you have had the opportunity to review and consider fully all information presented. You may also require the investigating officer to provide

further information before making the final decision. If there is a delay in providing an outcome you must keep the employee informed throughout the process. It is also good practice to agree any such actions with the employee and their representative during the meeting.

Once the disciplinary has been heard, the possible decision outcomes available are:

o No case to answero Verbal warningo First written warningo Final written warningo Dismissal without notice (only in cases of Gross Misconduct)o Dismissal with notice

If a decision is given on the day, this must also be confirmed in writing. The letter should include;- the decision outcome, in all cases- mitigation put forward, if applicable- targets set, if applicable- recommended training support, if applicable - performance improvement plan, if applicable,- the reason for the decision being reached, in all cases- the right to appeal the decision and details of the appeal process, in all

cases- If you have dismissed the employee, you will need to confirm notice pay

(if applicable) and payment for outstanding holidays.

Any targets set (i.e. performance improvement plans) have to be achievable, with timescales. You should also get the employee to sign their agreement to any targets.

Training support plan to be put in place, especially if there are concerns. This can include formal training courses, coaching sessions etc. The training support plan needs to be in writing and the employee should sign for the plan.

If a grievance is submitted during the disciplinary process, consider suspending the disciplinary process until the grievance has been dealt with.

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Keep notes/records of any formal meetings or investigation reports. If there is no case to answer, these documents should be removed from the employee’s

file. If the employee has been issued with a warning, ensure a copy is kept on their file until the warning expires.

Appeals

Acknowledgement to be sent on receipt of Appeal.

Appeals have to be heard by either a more senior member of the management team or somebody that has not been previously involved.

Invitation to Appeal Hearing Letter to be sent giving 48 hours’ notice of the meeting. In the letter you should inform the employee of the right to be accompanied at any appeal hearing.

Original manager who made the decision to be available at Appeal Hearing to present management case.

In the meeting, the employee should put forward their case and then the original manager should respond to the points raised. It may not be appropriate for the original manager to remain in the hearing the whole time.

If you are unable to make the decision on the day because further information is required, call for an adjournment. Explain to the employee that they will be informed in writing of the outcome. Keep the employee informed if there is any delay over providing an outcome.

All decisions should be confirmed in writing and the employee informed that there is no further right of Appeal.

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Disciplinary Hearing Process

1. Allegations confirmed and case outlined including presentation of supporting evidence.

2. The respondent (or representative) may ask questions.

3. The disciplinary panel may ask questions.

4. The respondent (or representative) will outline his/her case.

5. The disciplinary panel may ask questions of the respondent.

6. The respondent will sum up his/her case.

7. Both parties will be advised at the end of the hearing either:

a. To withdraw whilst the panel considers the matter with a view to making a decision as soon as possible or;

b. That more detailed consideration is needed and a decision will be communicated within seven days of the hearing.

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For further support contact help@highperformanceconsultancy.com or call 08448005932.

Disciplinary Procedure

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Possible breach of Discipline (Conduct, Performance, Negligence, Absence)

Can it be addressed informally?No If serious, consider suspension

Employee informed of issue/s

Investigation undertaken.Is there a case to answer?

Yes

No Yes

Inform of outcome Invite to disciplinary meeting (In

writing, with right to representation)

Disciplinary meeting held

Outcome

Appeal(if employee is not satisfied with outcome & must be submitted within 5 working days of original outcome)

Outcome letter sent, records updated kept on

file and removed after warning expires

Arrange appeal meeting. Give right to be accompanied

Final Outcome

Outcome letter sent, records updated kept on file and removed

after warning expires