A quick guide to Disciplinary, Dismissal and Grievance Procedures

The purpose of this information sheet is to provide a quick guide to Disciplinary, Dismissal and Grievance Procedures. It will also give details of where you can get further help.

Before resorting to a formal procedure for dealing with a dispute, it would be better for you and your worker to try to sort the matter out informally. Here is an example of how that might be done.

Informal disciplinary action

1. Find out all the facts while they are still fresh in your mind and that of your worker.

2. Talk to your worker informally and in private.

Remember

• This is not a disciplinary hearing.
  
• The purpose is not to punish but to encourage your worker and
  improve the situation.

3. Is there a case to answer?

No - That is the end of the matter. Try to make sure that no
bad feelings remain between you and your worker.

Yes - Clarify

1. How improvements can be made.
   
2. When you could meet again.
   
3. The next possible stage. For example, formal disciplinary action.

Remember

• To offer help such as training if required.
  
• Keep written notes.

If the informal disciplinary action doesn’t work you may find yourself in the position of having to take more formal action, that is, the disciplinary meeting.

Holding a disciplinary meeting

When you are going to hold a disciplinary meeting, you should tell your worker in writing:

1. What the allegation against him or her is.
   
2. Where and when you will hold the meeting.
   
3. That he or she has the right to be accompanied to the meeting.
   

Remember

• To investigate the circumstances thoroughly before the meeting.
  
• Provide your worker with any relevant information.
  
• Arrange an alternative meeting within five working days if your
  worker or the person accompanying him or her cannot attend.
  
• To be prepared to consider any fresh evidence.
  

At the meeting

During the meeting you should:

1. State the evidence supporting the allegation.
   
2. Give your worker the opportunity to put his or her case.
   
3. Allow the accompanying person to ask questions.
   

Suspend the meeting to consider any necessary action

You should consider:

1. Your worker’s record.
   
2. Any previous action you have taken against your worker.
   
3. Whether or not there are any special circumstances.
   

Decide if action is necessary

You should:

1. Let your worker know your decision.
   
2. Make your worker aware of his or her right to appeal.
   
3. Monitor the situation with an open mind.
   

Taking Disciplinary action except for gross misconduct

When taking disciplinary action for unsatisfactory performance you should give your worker an improvement note that states:

1. A time by when the improvement should be made.
   
2. How you intend to help your worker improve.
   
3. A date on which you will review the situation.
   
4. That your worker has the opportunity to appeal.
   

When taking disciplinary action for misconduct, you should give your worker a written warning letting him or her know:

1. What will happen if the situation does not improve.
   
2. That he or she has the right to appeal.
   

Remember

• The improvement note or written warning may be enough to
  bring the matter to a satisfactory conclusion.
  
• If the level of dissatisfaction or misconduct is serious enough,
  you may go straight to issuing a final written warning.
  
• Your worker has the right to be accompanied to all disciplinary or appeal meetings.
  

If the situation does not improve and it becomes clear that a final written warning is necessary you must:

1. Take into account any further incidents of unsatisfactory performance or misconduct.
   
2. Inform your worker of his or her right to appeal.
   
3. Ensure that the warning is put in writing.
   
4. Meet your worker to discuss the action you propose.
   

Remember

• If any previous warnings have expired, consider this to be a
  fresh case.
  
• You must stop any disciplinary action if the matter is
  satisfactorily concluded.
  
• If gross misconduct occurs, your employee may be legally dismissed immediately.
  

Dismissal

You are legally obliged to follow the minimum statutory discipline procedure before suspending your worker without pay or dismissing him or her. The procedure for taking disciplinary action or dismissing a worker is discussed later on this page.

Disciplinary Appeals

The appeal

1. Will usually need to be requested within five working days of
   the original decision.
   
2. Should be heard by the most senior person with employer’s
   responsibilities available, who in most cases will be the Direct Payments user. In the case of Microboards, it can be the Chairperson.
   

At the meeting

During the appeal meeting you should:

1. Be prepared to reverse the original decision if necessary.
   
2. Take account of any fresh evidence that becomes available.
   
3. Give your worker the opportunity to respond to the new evidence.

Remember

• You must remind your worker of his or her right to be
  accompanied to the appeal.
  
• The appeal provides the chance to correct any errors in the
  disciplinary procedure.

Result of the appeal

After considering the appeal, within a reasonable period of time, you should:

1. Inform your worker of the outcome of the appeal and the reasons.
   
2. Let your worker have confirmation of your decision in writing.
   

The statutory discipline and dismissal procedure

Below is a description of the three-step minimum disciplinary and dismissal procedure as required by law:

Step One

Before you can initiate disciplinary action or dismissal, you must:

1. Make your worker aware, in writing, of the allegations against him or her.
   
2. Ask him or her to attend a meeting to discuss the situation.

Exemptions – There are certain circumstances where employers and employees are exempt from the three-stage process. Please see our information sheet titled
Disciplinary, Dismissal and Grievance Procedures.

Step Two

To move to the second stage of the process, you should:

1. Have a meeting with your worker and his or her colleague if the employee has chosen to be accompanied.
   
2. Inform your worker of your decision.

Modified Procedure – This two-stage procedure may be used in extremely rare circumstances. For a fuller discussion of this procedure, please refer to our information sheet titled Disciplinary, Dismissal and Grievance Procedures.

Remember

• Going as far as step two of the three-stage procedure may be
  sufficient to provide a satisfactory resolution.
  
• If you, as the employer, fail to follow the procedure, an
  employment tribunal will automatically rule that any resulting
  dismissal is unfair.
  
• Failure by you or your worker to follow the procedure will lead to adjustment of any compensation awarded.

The Grievance Procedure

Employers and employees often find that an informal approach to resolving grievances works best. However, if this fails and you and your worker feel the need to take a more formal route, the following steps should be complied with:

1. Your worker should inform you of his or her grievance.
   
2. Arrange a private meeting with your worker and remind him or her of
   their right to be accompanied.
3. When you have considered your response, tell your worker
   your decision and arrange an appeal if he or she requests one.
4. You, as the employer should hear the appeal. If you don’t run your Direct Payments package yourself, then whoever runs it on your behalf should hear the appeal.
   

Remember

• If your worker intends to pursue an employment tribunal, his or
  her grievance must be in writing.
  
• You may have separate procedures for dealing with harassment or bullying.