Discipline

Guide for Employers and Managers

NEW With effect from 6 April 2009

In place of the statutory legal requirements, ACAS have provided a statutory Code of Practice in handling disciplines.  This Code of Practice should be used in the design and implementation of Discipline Procedures.  Failure to follow the Code does not in itself make a person or organisation liable to proceedings.  However Employment Tribunals will take the Code into account when considering relevant cases.  Tribunals will also be able to adjust any awards made in relevant cases by up to 25 per cent for unreasonable failure to comply with the Code of Practice. 

APS Policy, Procedures and supporting letters are based on ACAS Code of Practice

Disciplinary procedures should be used when problems occur with an employee's conduct or performance. Normally the disciplinary policy and procedure should be set out in the employee's contract of employment or written statement of particulars or held in a readily accessible place. Under the ACAS Code the disciplinary procedure should provide various levels for dispute resolution:

1   Informal Resolution

• wherever possible, employers and managers should attempt to resolve any dispute informally without the need to proceed with disciplinary action 

2   Formal Action

If formal action is required, these guidelines should be followed

• the employer/manager should carry out an investigation and gather evidence
• detail the complaint to the employee, with evidence, stating the severity of the complaint as necessary
• invite the employee to a meeting to discuss the matter
• detail how meetings will be held, whether they are considered informal or formal and who is entitled to accompany the employee (either a colleague or union representative)

3  Disciplinary Hearings

• hold a meeting to discuss the complaint with the employee
• provide written outcome of any meetings, particularly formal disciplinary meetings, setting out any action required by the employee, with timescales
• give employee the Right of Appeal if a warning is given

4  Right of Appeal Meeting

• in the event of an Appeal the employer must invite the employee to a further meeting
• inform the employee of the final decision

Depending on the size of the organisation the above stages can be repeated several times during the disciplinary process.  

Levels of Warning

• set out requirements as defined under the ACAS Code and essentially make provision for the employer to have flexibility in managing the process
• provide the process for dealing with disputes informally through mediation and conciliation
• where formal action is required, the procedure takes the employer and employee through every stage of disciplinary action through to termination of employment
• helps improve employee's performance and/or conduct

APS letters

• cover every stage from informal meetings through to termination of employment, with the right of appeal and final decision. The employer can easily pick out a letter at any stage of the process with clear guidelines for completion

Well written disciplinary procedures are a vital tool to help employers resolve problems internally and avoid employment tribunal claims!

APS.....helping Employers manage disputes, professionally!

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