A guide to taking disciplinary action

It’s important that employers understand – and are prepared for – what to do if disciplinary action needs to be taken against a staff member.

 

No one wants to go down that route, but the CIPD says that if there any difficulties with an employee, having disciplinary and grievance procedures in place will make sure you can deal with any challenges fairly and consistently.

 

The CIPD adds that there are two main areas where a disciplinary process may have to be used. These are:

• Someone’s capability and performance – for example, issues could arise if a staff member isn’t able to perform their work to a satisfactory standard
• Conduct – this includes issues such as repeatedly being late, not following instructions from a manager, theft, criminal offence, bullying behaviour, and abuse of the computer system or internet access

 

UK law on taking disciplinary action

 

The Employment Rights 1996 says that an organisation must have proper, fair disciplinary, dismissal or grievance procedures written down for staff to read. For example, in a staff handbook or in an employment contract.

 

Employers must follow the ACAS Code of Practice: Disciplinary and Grievance Procedures at a minimum. If a case goes to an employment tribunal, they will look at whether the employer and employee have  followed the code. If they haven’t followed the code, the tribunal may decide to adjust any financial awards made by up to 25% for what is deemed as “unreasonable failure to comply” with the code.

 

The ACAS code covers what do to handle disciplinary issues in the workplace and how to handle a grievance from an employee. This article focuses on managing disciplinary issues. Read the Charity Digital article on managing grievances.

 

 

Writing disciplinary rules and procedures

 

GOV.UK says you should have written disciplinary rules and procedures in place to deal with issues around performance and conduct. You must tell your staff about these rules and procedures and ask them to read them when they start working for your organisation.

 

The rules must say what is acceptable and unacceptable behaviour in the workplace and explain what action the organisation will take if an employee breaks the rules. GOV.UK adds that the rules could cover things like: absence and timekeeping, health and safety, and use of phone and the internet.

 

An organisation should also include examples of gross misconduct in its rules and behaviours. GOV.UK says that gross misconduct is “misconduct that is judged so serious that it’s likely to lead to dismissal without notice, for example fraud, theft and physical violence”.

 

The NCVO says that having rules and procedures in place will help an employer to set out what they expect of staff and then allow them to act fairly and consistently when addressing misconduct. Members of the NCVO can download a template disciplinary procedure to edit for their organisation.

 

 

Investigating disciplinary issues

 

GOV.UK says the law doesn’t state how you should investigate issues or hold disciplinary meetings. It refers to the ACAS guidance on discipline and grievances at work which suggests carrying out the following process:

• Write a letter to the staff member about the issue and invite them to a disciplinary hearing
• Have a meeting with the staff member to discuss the issue with them. Let them know in advance that they have the right to be accompanied to the meeting
• Write a letter to your employee after the meeting saying what action you are going to take. This should be sent as soon as possible
• Let your employee have a chance to appeal your decision

The CIPD says an employer needs to carry out a full and fair investigation so they can work out the facts and decide if they need to take further action. ACAS has guidance on its website to help employers carry out investigations.

 

 

Looking after people’s health and wellbeing

 

It’s important to think about people’s welfare at every stage of a disciplinary procedure. The CIPD says an employer should give staff access to an occupational health statement if they request it or it’s felt it’s needed.

 

 

Making a disciplinary decision

 

By making a disciplinary decision you are resolving the problem. This could include: giving the staff member a final warning, dismissing them or going through mediation.

 

 

Managing an appeal

 

A staff member has the right to appeal a decision that an employer makes after a disciplinary meeting. Employers need to let staff know this when they write to them with their decision. They should also give them a deadline to let the employer know they want to appeal.

 

 

Further support

 

Read more about how to carry out disciplinary action fairly and consistently:

• ACAS Code of Practice on Disciplinary and Grievance Procedures
• ACAS guide to discipline and grievances at work
• Information about disciplinary matters on the NCVO website
• Information about taking disciplinary action against an employee on the GOV.UK website
• Resolving workplace disputes in Northern Ireland