1. Purpose and Scope
Aim: Ensure misconduct or performance issues are addressed consistently and fairly. Who it applies to: All employees, regardless of length of service or role.
2. Informal Stage (Coaching and Counselling)
Identify issue: Line manager spots performance shortfall or minor misconduct. Private discussion: Manager meets the employee to: Explain the concern clearly (e.g. missed deadlines, unprofessional behaviour). Listen to the employee’s perspective. Agree improvement plan: Set specific, measurable targets and a review date (typically within 2–4 weeks). Record note: Brief, factual note of the discussion is kept on file (not a formal warning).
When to use: Minor or first-time issues where quick correction is expected.
3. Formal Investigation
Appoint investigator: A neutral manager or HR representative. Gather evidence: Interview relevant witnesses. Collect documents, emails or system logs. Employee notice: Provide a written summary of the allegation(s) and invite them to a meeting. Confidentiality: Remind all parties to maintain confidentiality throughout.
Outcome: Investigator compiles a report with findings and recommendations.
4. Formal Disciplinary Hearing
Notice of hearing: Send at least 48 hours’ written notice, including: Allegation details. Investigator’s report (or summary). Right to be accompanied by a colleague or trade union rep. Conduct meeting: Manager (or panel) chairs the hearing. Present evidence and allow the employee to respond. Ask questions and clarify points. Adjournment: If needed, pause to consider evidence or seek further information. Decision: Communicate whether the allegation is upheld or not.
5. Outcomes and Warnings
Depending on severity and history, options include:
No action: If there’s insufficient evidence or the issue is minor. First written warning: Lasts typically 6 months. Final written warning: Lasts typically 12 months. Dismissal: For gross misconduct or repeated failure after warnings. Alternative actions: Demotion, transfer or additional training.
Each outcome letter should clearly state:
The decision and reason. Duration of any warning. Improvement expectations and review date. Right to appeal (see next section).
6. Appeal Process
Lodging an appeal: Employee submits in writing within 5 working days, stating grounds (e.g. procedural error). Appeal hearing: Conducted by a manager more senior than the original decision-maker, with similar rights to representation. Final decision: Communicated in writing, noting whether the original decision is upheld, revised or overturned.
7. Record-Keeping and Monitoring
Confidential files: Store all documents securely for the duration of any warning period + six months. Review progress: Managers should check in on agreed improvements. Policy review: Annually review the disciplinary policy to ensure fairness and compliance (e.g. with ACAS Code of Practice).
Key Principles to Uphold Throughout:
Fairness: Give everyone a chance to explain their side. Consistency: Apply rules equally across the team. Transparency: Keep the employee informed at every stage. Confidentiality: Protect privacy and reputation.
This framework will help you handle disciplinary matters professionally, minimise risk and maintain trust within your organisation.
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