How to handle disciplinary issues

David Aldridge, Adviser, Business Link Berkshire looks at how to handle disciplinary issues in the workplace.

Despite every effort, even the best-run business may encounter disciplinary problems with employees from time to time. Although it is always best to focus on effective management practice and preventative measures, having clear and fair disciplinary procedures is both a legal requirement and the first step to avoiding difficult claims tribunals.

Setting the rules

It is important to let your employees know what the rules and expectations are that could lead to disciplinary action being taken against them. Issues such as personal presentation, work absence, and timekeeping are just a few things which you may want to include.

The list itself need not be exhaustive but do make it clear to your employees a general level of appropriate behaviour is required.

Equally it is important to clarify what constitutes gross misconduct like drugs and alcohol abuse on site, and misuse or wilful damage to property. It is this sort of activity that may lead to dismissal without notice. Detailing these rules will help your employees fully understand the consequences of their behaviour in your office and help prevent future problems.

Spreading the word

You are required to let your employees know about the procedures, so businesses should consider developing a separate document on the subject, or even include it as part of the staff handbook. How you let your employees know about your disciplinary procedures is up to you but they must given the information as soon as they join the business.

You may chose to include the procedures in employee contracts, but just remember, if you do this, any deviation from the procedure would leave you in breach of contract. In both cases, you must clearly state the contact name for the person who deals with disciplinary issues.

Resolving the problem

Disciplinary issues can be very sensitive and should always be handled carefully. The associated procedures should ensure that individuals are made fully aware of their offence through a series of warnings, provide for a full investigation and recognise the employees right to state their case and be accompanied by a trade union representative or colleague to the tribunal meeting.

There are three steps that will help you deal with your disciplinary procedures effectively and in accordance with statutory requirements;

• The business must detail and send the reasons for the disciplinary action or dismissal to the employee, in writing and invite them to a meeting to discuss the matter.
• Unless the employee is being suspended, this meeting must take place before action is taken. The employee must be given time to develop a response before going into the meeting and take all reasonable steps necessary to be in attendance. Following the meeting, you should let the employee know the decision and notify them of their right to appeal.
• If an appeal is requested, the employee must inform the business, and the employer should invite the employee to another meeting. This meeting can take place after the initial action has been taken. Having reached a decision, you should inform the employee.

With this kind of procedure in place you should feel confident that if issues arise, your business is equipped to deal with them. If you feel unsure about any part of the process or requirement, seek advice from ACAS, or an HR adviser.

Remember, businesses should make every effort not to allow problems to get to this stage by developing employment policies which encourage work-life balance and good staff morale.

Further Reading
For more information on handling disciplinary issues, visit the ‘Employing people’ section of the Business Link website