Disciplinary Procedure

Conduct is one of the potentially fair reasons for dismissal. In order to carry out such a dismissal fairly a procedure must be followed. This is why an employer must have a disciplinary procedure which is fair and applied consistently.

The ACAS Code of practice (Advisory, Conciliation and Arbitration Service) sets out guidelines which employers can follow. The Code recommends that procedures should:

- be in writing

- specify to whom they apply

- provide for matters to be dealt with quickly

- indicate the disciplinary actions which may be taken

- specify the levels of management which have the authority to take the various forms of disciplinary action, ensuring that immediate superiors do not normally have the power to dismiss without reference to senior management

- provide for individuals to be informed of the complaints against them and to be given an opportunity to state their case before decisions are reached

- give individuals the right to be accompanied by a trade union representative or by a fellow employee of their choice

- ensure that, except for gross misconduct, no employees are dismissed for a first breach of discipline

- ensure that disciplinary action is not taken until the case has been carefully investigated

- ensure that individuals are given an explanation for any penalty imposed

- provide a right of appeal and specify the procedure to be followed

Stages Of Disciplinary Procedure

When a disciplinary situation arises, the first task is to make sure of the facts of the case, as quickly as possible. If the case is serious, then the employee can be suspended while the investigation is carried out. Before any action or sanctions are taken, the employee must be interviewed and allowed to state their case and be informed of their rights under the disciplinary procedure.

The normal sequence of warnings recommended by the ACAS code is:

- formal oral warning, for minor offences

- formal written warning, if the offence is more serious ? employee should be told this is the first step of a disciplinary procedure and the consequences of further offences or non improvement

- final written warning, for further misconduct ? state that any re-occurrence will lead to suspension or dismissal

- suspension or notice of dismissal

Disciplinary Procedures Should Contain

- time involved in each stage of the warnings sequence (e.g one month to improve performance)

- when any written information about disciplinary action kept on file will be removed (or not)

- how an employee can appeal against any disciplinary action against them

Dismissal Without Warning

There are circumstances when an employee can be summarily dismissed, although this should only happen after investigation. There must have been an act of gross misconduct or major breach of duty. Examples of these should be specified in organisations procedures and could include:

- serious breach of safety rules threatening life and limb

- theft

- fraud

- being under the influence of drink or illegal drugs during working hours

- failure to follow the organisations documentary rules

- breach of duty regarding the disclosure of confidential information

- deliberate damage to worker's or organisation property

- acts of harassment or discrimination