Disciplinary, Dismissal and Grievance
Procedures
Introduction
There have been regulations since April 2005 that give new rights
to and place new responsibilities on employers and employees. These
are to make sure that disputes between employers and employees are
dealt with quickly and fairly in order to prevent them from becoming
more serious and souring the relationship between them.
This information sheet outlines the new procedures for dealing
with disputes and the consequences they might have for you as an
employer. It gives general advice and does not claim to provide
expert legal guidance. However, later on, it will point out where
you can get more detailed help.
The new legislation is there to encourage you and your staff to
try to resolve any disputes that you and your employee(s) may have
by negotiation before having to settle them at a tribunal.
If negotiations fail and you and your employee need to go to a
tribunal, the law sets out minimum procedures for dispute resolution
that you and your employee(s) must stick to.
When dealing with most disciplinary action, dismissals or grievances,
all employers and employees are bound by law to follow a minimum
procedure that consists of three steps. If the procedure is not
applied, there could be financial implications for you or your employee
if the difficulty cannot be resolved and it goes to a tribunal.
What is the process for resolving disputes?
The process for reaching a resolution to disputes is basically
quite simple. It has the following three stages:
Write it down – If you are thinking about taking disciplinary
action against or
dismissing an employee, you need to provide a written statement
to him
or her outlining your reasons for the action you intend to take.
If your
employee wishes to start a grievance procedure against you, he or
she
must provide you with the reasons in writing.
Meet your employee – You should arrange a meeting with your
worker to
discuss the problem. Both you and your employee should have an
appropriate amount of time to consider the situation before any
meeting
takes place. You should inform your worker of his or her right to
appeal
should he or she disagree with your decision. Try to avoid ‘knee-jerk’
decisions, so give yourself a little time to decide your action.
Always try to
be reasonable in both the decision you make and in the length of
time it
takes to reach it.
The appeal – If your worker requests an appeal, you need
to arrange one.
It can take place after any action has been taken. You should make
sure
that your employee is aware of the result of the appeal.
What do I need to do about the new procedures?
Check your existing procedures – If your disciplinary, dismissal
and grievance procedures already fulfil or exceed the action taken
suggested by the minimum procedures outlined above you do not need
to change them. If your existing procedures do not at least match
the new ones, you should improve them.
Put procedures in place – If you do not already have procedures,
you should use the new ones as a minimum standard.
Keep employees informed – Tell your workers about the new
law and their rights and responsibilities under it. You should provide
information about where they can get further details.
Stick to the three steps – Remember that this process is
a minimum standard set down in law and failure to adhere to it could
result in financial penalties for you or your employee at a tribunal.
How should I tell new staff about the new procedures?
Give your workers guidance on where they can get more information
on the procedures. Information on the three step procedures should
be available in at least one of the following.
- The letter to new employees offering them a job.
- Written particulars of employment or terms and conditions.
- The contract of employment
How should I tell existing workers about the new procedures?
You have a legal duty to tell your staff about the procedures they
should use when resolving a dispute. At the very least, you must
tell your workers about the disciplinary, dismissal and grievance
procedures you operate, how they work, and when they apply.
- Tell them verbally
- Write them a letter or memo. If you would like help with this,
please contact Centre for Independent Living.
- Show them this information sheet
How should I initiate dismissal and disciplinary procedures?
It is not always easy to dismiss or discipline someone who works
for you. You should try to talk things over with your employee informally
before starting a procedure that will end up going to a tribunal.
Be reasonable. It is important that you behave in a reasonable manner
towards a worker during a dispute. If you cannot settle your differences
amicably and your case goes to a tribunal, you will be expected
to have acted reasonably. You can get a copy of a booklet called
the Code of Practice on Disciplinary
and Grievance Procedures from the Labour
Relations Agency.
The standard and the modified procedures are available to be used
if you intend to dismiss or take other disciplinary action against
an employee.
In general, the standard procedure applies to most dismissals with
the exception of some constructive dismissals, some dismissals where
more that one person is being dismissed, where someone is dismissed
because the employment cannot continue owing to circumstances outside
of anyone’s control, and certain dismissals for gross misconduct.
The standard procedure also applies to all disciplinary procedures
except where an employee is to receive a verbal or written warning
or a suspension on full pay.
The three stages of the standard procedure for dismissals and disciplinary
action are;
- Put the reason for the action or dismissal in writing.
- Meet your employee to discuss the issue.
- Grant appeal if requested and arrange an appeal meeting.
Some cases of dismissal for gross misconduct only may be dealt
with using the modified procedure. This is shorter, has two stages
and must only be used in rare circumstances such as where the employer
may feel that he or she would be put at risk by engaging in the
longer standard procedure.
When you are implementing either the standard or the modified procedures
for disciplinary action or dismissal, you must consider the following;
- You must go through each stage of the procedure without undue
delay.
- The venues and timing of meetings must be reasonable.
- You are obliged to make sure that your employee has all relevant
information ahead of the meeting.
- The meeting must give you and your employee adequate opportunity
to explain your case.
- Your worker may choose to be accompanied to the meeting by
a colleague or person approved by a trade union.
Are there penalties if I do not follow the procedure?
If you do not follow the procedure correctly, you will incur the
following penalties;
- The tribunal will rule that the dismissal is automatically unfair
in cases where the worker is entitled to claim unfair dismissal.
- You will be ordered to pay your worker a compulsory four weeks’
pay.
- Additional compensation is usually increased by between ten
and fifty percent.
Are there penalties if my worker does not follow the procedure?
If your worker is found to have been unfairly dismissed but has
not followed the procedure correctly, any award he or she receives
may be reduced by between ten and fifty percent.
Grievance Procedure
You have a legal responsibility to deal with any grievances that
your worker may have. As with disciplinary action and dismissals,
it is possible for one of two procedures to be used. The stages
for the standard procedure are the same as for the disciplinary
and dismissal procedures. The standard grievance procedure may be
used in all cases, regardless of whether or not your worker is still
employed by you.
The modified procedure may be used in cases where your worker is
no longer working for you and certain other criteria are fulfilled.
They are as follows;
- Both you and your worker agree in writing to using this procedure.
- You were unaware of the grievance or a procedure was not started
or completed before your worker left.
Penalties for failure to follow the grievance procedure are the
same as those attached to disciplinary and dismissal procedures.
Useful Resources
There are a number of places you can get advice and information
on the new legislation. They are;
Labour Relations Agency
2-8 Gordon Street
Belfast, BT1 2LG
Tel: 028 9032 1442
Fax: 028 9033 0827
Department for Employment and
Learning
Adelaide House
39/49 Adelaide Street
Belfast BT2 8FD
Tel: 028 9025 7777
Fax: 028 9025 7778
Invest NI
44 - 58 May Street
Belfast
BT1 4NN
Tel: 028 9023 9090
Fax: 028 9049 0490
Further Information
If you would like further information on disciplinary, dismissal
and grievance procedures, please contact
us
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