Action list: Setting up a disciplinary procedure

Action list

1. Contact Acas for their Code of Practice; your procedures must be at least as good as the statutory minimum outlined.
2. Put your procedures in writing and communicate them to all employees (for example, through a handbook). Ensure they understand the rules and their rights.
3. Identify what issues your disciplinary procedure needs to cover: for example, work performance, theft, offensive behaviour and inappropriate behaviour.
4. Classify offences: minor offences, repeated minor offences, misconduct, and gross misconduct are the most commonly used categories.
5. Provide examples of misconduct; do not try to produce an exhaustive list or be too specific if the offence can be a matter of degree.
6. Describe offences constituting gross misconduct, meriting instant dismissal; consider whether an employment tribunal would agree with you.
7. Set up a series of warning steps for offenders: for example, oral warning for minor offences, written warning, final written warning (and ultimately dismissal).
8. Set up a procedure for holding formal disciplinary interviews;decide who will have the authority to hold meetings and take disciplinary action.
9. Follow the formal ‘three-step’ minimum for serious or repeated offences – explain in writing what the problem is, arrange a face-to-face meeting to discuss the problem and allow for an appeal if the employee is unhappy with the outcome.
10. Reserve the right to enter the procedure at the level the severity of the offence justifies (eg an immediate final warning for serious misconduct).
11. Set timescales for the stages of the disciplinary process, allowing time for improvements before issuing further warnings.
12. Decide on a record-keeping system and how long warnings will remain in effect before they lapse.
13. Ensure that your procedure respects employees’ rights: for example, to be accompanied by a colleague at a hearing and to be treated fairly.
14. Train managers; stress the need to be fair and consistent and to keep written records.
15. Continue to use informal warnings to handle one-off minor offences.

Cardinal Rules

Do:

• ensure your procedures are at least as good as the statutory minimum
• produce a written procedure and communicate it to employees
• produce a written procedure and communicate it to employees
• categorise the seriousness of different offences
• provide for objective disciplinary meetings (or hearings)
• set up a series of warning steps
• allow time for improvements to behaviour or performance
• allow time for improvements to behaviour or performance
• provide for a right of appeal
• train managers to be fair and consistent
• train managers to be fair and consistent

Don’t:

• try to produce a completelist of offences
• ignore employees’ rights
• ignore the use of informal warnings
• ignore the use of informal warnings