DISCIPLINE, DISCIPLINE, DISCIPLINE Angela Rhodes of Crispin Rhodes in association with Quality Personnel
INTRODUCTIONS <ul><li>Who are you? </li></ul><ul><li>Company </li></ul><ul><li>Role in Company </li></ul><ul><li>What do y...
OBJECTIVES <ul><li>To appreciate the need to set standards </li></ul><ul><li>To know when to discipline </li></ul><ul><li>...
WHY DISCIPLINE? <ul><ul><li>Rules are observed </li></ul></ul><ul><ul><li>Standards are maintained </li></ul></ul><ul><ul>...
DISCIPLINARY PROCEDURE <ul><ul><li>All employers – irrespective of size </li></ul></ul><ul><ul><li>Contractual or Non-cont...
WHEN TO DISCIPLINE <ul><ul><li>Distinguish small ‘d’ and big ‘D’ discipline. </li></ul></ul><ul><ul><li>Overturning establ...
ESSENTIALS OF DISCIPLINE <ul><li>Immediate and specific </li></ul><ul><li>Investigation </li></ul><ul><li>Hold hearing </l...
MISUSES OF THE DISCIPLINARY PROCESS <ul><li>To establish, change or reintroduce rules </li></ul><ul><li>To deal with colle...
CONSISTENCY <ul><li>Between sites  </li></ul><ul><li>Between employees </li></ul><ul><li>Between occasions </li></ul><ul><...
ESSENTIAL FEATURES OF DISCIPLINARY PROCEDURES <ul><li>Be in writing </li></ul><ul><li>Specify to whom they apply </li></ul...
ESSENTIAL FEATURES OF DISCIPLINARY PROCEDURES <ul><li>Give individuals the right to be accompanied by a fellow employee of...
DISCIPLINARY ACTION <ul><li>Reasonable belief </li></ul><ul><li>Concrete proof of guilt is not essential </li></ul><ul><li...
FAIR REASON FOR DISMISSAL <ul><li>Conduct </li></ul><ul><li>Capability </li></ul><ul><li>Redundancy </li></ul><ul><li>Stat...
TEST OF FAIRNESS <ul><li>The determination of whether the dismissal was fair or unfair…. shall depend on whether in the ci...
GROSS MISCONDUCT <ul><li>Behaviour on the part of the employee which is incompatible with continued employment </li></ul><...
EXAMPLES OF GROSS MISCONDUCT <ul><li>Theft </li></ul><ul><li>Fighting </li></ul><ul><li>Drunkenness </li></ul><ul><li>Seri...
CAPABILITY PEFORMANCE CASES <ul><li>Conduct is deliberate, blameworthy or careless </li></ul><ul><li>Incapability is usual...
INVESTIGATION <ul><li>Independent thorough investigation </li></ul><ul><li>Evidence from witness/es </li></ul><ul><li>Obta...
ARRANGING HEARING <ul><li>Completed investigations? </li></ul><ul><li>Arrange meeting in private </li></ul><ul><li>Conside...
NATURAL JUSTICE <ul><li>A right to be informed of the case against the employee </li></ul><ul><ul><li>Allegations </li></u...
CONDUCTING A DISCIPLINARY INTERVIEW <ul><li>Statement of complaint </li></ul><ul><li>Employee’s reply </li></ul><ul><li>Ge...
CONSIDERATIONS <ul><li>Only if on the basis of the evidence you believe employee has committed offence </li></ul><ul><li>I...
FOLLOW UP <ul><li>Further investigation? </li></ul><ul><li>Reconvene disciplinary interview </li></ul><ul><li>Advise a dec...
DECIDING OUTCOME <ul><li>ALWAYS  adjourn meeting to consider outcome </li></ul><ul><li>Consider positive, pro-active outco...
CONSTRUCTION OF WARNING LETTER <ul><li>Preamble </li></ul><ul><li>Time and date </li></ul><ul><li>Who was present </li></u...
APPEALS  PROCESS <ul><li>Procedure </li></ul><ul><li>Grounds of Appeal </li></ul><ul><li>Independent person not previously...
HOW TO AVOID EMPLOYMENT TRIBUNAL <ul><ul><li>Treat all employees in same way </li></ul></ul><ul><ul><li>Follow up possible...
DISPEL  A  MYTH <ul><li>Automatically unfair dismissal when employed for less than one year : </li></ul><ul><ul><li>A dism...
COST IF YOU GET IT WRONG Basic Award (Maximum) £11,400 Compensatory Award (Maximum) £65,300 Additional Award (Maximum) £19...
CRISPIN RHODES LTD <ul><li>Contact Angela for further advice: </li></ul><ul><li>T:  01908 230969 </li></ul><ul><li>M:  079...
DISCIPLINE, DISCIPLINE, DISCIPLINE
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Discipline Discipline Discipline March 2010

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How to fairly discipline employees

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  • A disciplinary procedure is the means by which rules are observed and standards are maintained. It provides a method of dealing with any shortcomings in conduct or performance and can help an undisciplined or poorly performing employee to become effective again. The consistent application of a fair and effective disciplinary procedure will help to minimise disagreements about disciplinary matters and reduce the need for dismissals. Procedure needs to comply with the Employment Act 2008 and the new ACAS code of practice on disciplinary and grievance procedures. A breach of this Code of Practice could lead to a tribunal increasing or decreasing the award by up to 25%.
  • Procedure needs to comply with the Employment Act 2008 and the new ACAS code of practice on disciplinary and grievance procedures. A breach of this Code of Practice could lead to a tribunal increasing or decreasing the award by up to 25%. Award may be reduced by 25% for an employee’s failure to reasonably follow the code of practice. Employees must be aware of procedures. Consider employees whose first language may not be English. Can invoke procedure at any stage at any time depending on nature of offence
  • Procedure needs to comply with the Employment Act 2008 and the new ACAS code of practice on disciplinary and grievance procedures. A breach of this Code of Practice could lead to a tribunal increasing or decreasing the award by up to 25%. Award may be reduced by 25% for an employee’s failure to reasonably follow the code of practice. Employees must be aware of procedures. Consider employees whose first language may not be English. Can invoke procedure at any stage at any time depending on nature of offence
  • SMC – Scotland and Milton Keynes Sales man who had three accidents in Scotland just got a ticking off. Sales man who had three accidents in Milton Keynes received a final warning and told he must pay any future excess.
  • Right to be accompanied by a workplace colleague or an accredited trade union official. Colleague can refuse. You can refuse to allow a colleague if there is a conflict. TU Official even if don’t recognise TU. Cannot bring in anyone else.
  • Very important to distinguish between an investigatory meeting the purpose of which is to establish facts and not to make any decision based on these facts, and a disciplinary hearing, the purpose of which is to determine whether there are grounds to impose a disciplinary sanction on the employee. Do not jump to conclusion prematurely Restrict activities to investigating the facts rather than making decisions based on facts Do not say or do anything that implies judgment of the employee’s actions or behaviour
  • Need to give employee reasonable time to prepare and to find someone to accompany them if required. Can delay a hearing by up to five working days if appointment is not convenient for companion to attend.
  • NOT MADE YOUR MIND UP LISTEN NEVER MAKE DECISION AT HEARING
  • Onus on employer to reach a reasoned and reasonable conclusion on the balance of probability, rather than “beyond all reasonable doubt” Equal treatment – someone done something similar before? What happened to them?
  • One year service plus – statutory right to written statement of reasons for dismissal
  • Preferably adjourn overnight If giving time to improve, length of time depends on circumstances .... Production operative not producing enough items per hour may be given a week to improve whereas a manager whose department is not getting adequate results may be given six months. Beware with gross misconduct – is it really deliberate.......
  • Three different grounds for appeal – facts, decision or the process
  • Procedure needs to comply with the Employment Act 2008 and the new ACAS code of practice on disciplinary and grievance procedures. A breach of this Code of Practice could lead to a tribunal increasing or decreasing the award by up to 25%. Award may be reduced by 25% for an employee’s failure to reasonably follow the code of practice. Employees must be aware of procedures. Consider employees whose first language may not be English. Can invoke procedure at any stage at any time depending on nature of offence
  • In these situations failure to follow procedure will lead to an additional penalty of between 20 and 50% on any award of compensation
  • Compensation is comprised of three elements: the basic award that compensates for loss of job; the compensatory award that compensates for loss of earnings whilst the appellant looks for alternate employment and an additional award which is made when a recommendation of reinstatement (or reinstatement with a lesser penalty) is not accepted. Basic Award - MAXIMUM AWARD (currently £11,400) is calculated according to length of service (up to a maximum of 20 years) and the employee&apos;s age at the date of dismissal: 1/2 week&apos;s pay for each full year in which the employee was under 22; 1 week&apos;s pay for each full year in which the employee was over 22 but under 41; and 1 &amp; 1/2 week&apos;s pay for each full year in which the employee was 41 or over. The pay is gross pay at the date of dismissal up to a maximum of £350 per week. Compensatory Award - MAXIMUM AWARD (£65,300) comprises three elements and is based on net pay for elements i &amp; ii and gross pay for element iii : Loss of pay from dismissal to the date of hearing. This must be reduced to take account of any earnings or benefits received. Future loss of earnings. The Tribunal will take into account the age of the employee and the speed in which they are likely to find alternate employment in the area in which they live. It is usually awarded for either 13 or 26 weeks and again can be subject to reductions for earnings or benefits received. Loss of Pension. This compensates the appellant for loss of pension entitlement for the period from dismissal until the end of the future loss of earnings period. One of four formulae is used depending on appellant&apos;s employment status and whether in receipt of a pension at the time of award. Additional Award - MAXIMUM AWARD (£19,760) this is given where there has been unreasonable failure to reinstate. The award is based on gross pay for a period between 26 and 52 weeks with a maximum of £350 per week.
  • Discipline Discipline Discipline March 2010

    1. 1. DISCIPLINE, DISCIPLINE, DISCIPLINE Angela Rhodes of Crispin Rhodes in association with Quality Personnel
    2. 2. INTRODUCTIONS <ul><li>Who are you? </li></ul><ul><li>Company </li></ul><ul><li>Role in Company </li></ul><ul><li>What do you hope to gain from this session? </li></ul>
    3. 3. OBJECTIVES <ul><li>To appreciate the need to set standards </li></ul><ul><li>To know when to discipline </li></ul><ul><li>To know how to proceed </li></ul><ul><li>To know what to consider </li></ul><ul><li>To appreciate the legal framework </li></ul><ul><li>To learn from stories </li></ul>
    4. 4. WHY DISCIPLINE? <ul><ul><li>Rules are observed </li></ul></ul><ul><ul><li>Standards are maintained </li></ul></ul><ul><ul><li>Method of dealing with shortcomings in performance or conduct </li></ul></ul><ul><ul><li>Help an undisciplined or poorly performing employee to become effective </li></ul></ul><ul><ul><li>Potentially reduce the need for dismissals </li></ul></ul><ul><ul><li>ACAS Code of Practice </li></ul></ul>
    5. 5. DISCIPLINARY PROCEDURE <ul><ul><li>All employers – irrespective of size </li></ul></ul><ul><ul><li>Contractual or Non-contractual </li></ul></ul><ul><ul><li>Four stages </li></ul></ul><ul><ul><ul><li>Oral </li></ul></ul></ul><ul><ul><ul><li>Written warning </li></ul></ul></ul><ul><ul><ul><li>Final written warning </li></ul></ul></ul><ul><ul><ul><li>Dismissal </li></ul></ul></ul>
    6. 6. WHEN TO DISCIPLINE <ul><ul><li>Distinguish small ‘d’ and big ‘D’ discipline. </li></ul></ul><ul><ul><li>Overturning established behaviour is often resented. </li></ul></ul><ul><ul><li>Always deal with potential or actual breaches of discipline on the first occasion. </li></ul></ul><ul><ul><li>Use the disciplinary procedure if problems persist. </li></ul></ul>
    7. 7. ESSENTIALS OF DISCIPLINE <ul><li>Immediate and specific </li></ul><ul><li>Investigation </li></ul><ul><li>Hold hearing </li></ul><ul><li>Consequence </li></ul><ul><li>Ongoing support </li></ul><ul><li>Right of appeal </li></ul>
    8. 8. MISUSES OF THE DISCIPLINARY PROCESS <ul><li>To establish, change or reintroduce rules </li></ul><ul><li>To deal with collective or group problems </li></ul><ul><li>To enhance personal or sectional power </li></ul><ul><li>To teach employees the rules </li></ul><ul><li>To use someone as an example to others </li></ul>
    9. 9. CONSISTENCY <ul><li>Between sites </li></ul><ul><li>Between employees </li></ul><ul><li>Between occasions </li></ul><ul><li>Consistency of identification, decision penalty </li></ul>
    10. 10. ESSENTIAL FEATURES OF DISCIPLINARY PROCEDURES <ul><li>Be in writing </li></ul><ul><li>Specify to whom they apply </li></ul><ul><li>Dealt with quickly </li></ul><ul><li>Specify the levels of management which have the authority to take disciplinary action </li></ul><ul><li>Provide for individuals to be informed of the complaints against them and to state their case before decisions are reached </li></ul><ul><li>Cont’d…. </li></ul>
    11. 11. ESSENTIAL FEATURES OF DISCIPLINARY PROCEDURES <ul><li>Give individuals the right to be accompanied by a fellow employee of their choice or an accredited Trade Union representative </li></ul><ul><li>Ensure that disciplinary action is not taken until the case has been carefully investigated </li></ul><ul><li>Ensure that except for gross misconduct, no employees are dismissed for a first breach of discipline </li></ul><ul><li>Explanation for any penalty imposed </li></ul><ul><li>Provide right of appeal </li></ul>
    12. 12. DISCIPLINARY ACTION <ul><li>Reasonable belief </li></ul><ul><li>Concrete proof of guilt is not essential </li></ul><ul><li> BUT </li></ul><ul><li>Employer must have </li></ul><ul><li>Genuine belief </li></ul><ul><li>On reasonable grounds </li></ul><ul><li>Following reasonable investigation </li></ul><ul><li>That employee has committed an act of misconduct </li></ul>
    13. 13. FAIR REASON FOR DISMISSAL <ul><li>Conduct </li></ul><ul><li>Capability </li></ul><ul><li>Redundancy </li></ul><ul><li>Statutory restriction </li></ul><ul><li>Some other substantial reason </li></ul>
    14. 14. TEST OF FAIRNESS <ul><li>The determination of whether the dismissal was fair or unfair…. shall depend on whether in the circumstances (having regard to the size and administrative resources of the employer’s undertaking) the employer acted reasonably or unreasonably in treating it as a sufficient reason for dismissing the employee and that question shall be determined in accordance with equity and the substantial merits of the case. </li></ul>
    15. 15. GROSS MISCONDUCT <ul><li>Behaviour on the part of the employee which is incompatible with continued employment </li></ul><ul><li>Entitles employer to dismiss without notice </li></ul><ul><li>Does not mean a dismissal without a fair procedure. </li></ul>
    16. 16. EXAMPLES OF GROSS MISCONDUCT <ul><li>Theft </li></ul><ul><li>Fighting </li></ul><ul><li>Drunkenness </li></ul><ul><li>Serious breaches of safety rules </li></ul><ul><li>Damaging company property </li></ul><ul><li>Refusing to obey reasonable order </li></ul><ul><li>Serious insubordination </li></ul><ul><li>Sexual or racial harassment </li></ul>
    17. 17. CAPABILITY PEFORMANCE CASES <ul><li>Conduct is deliberate, blameworthy or careless </li></ul><ul><li>Incapability is usually a lack of skill or ability </li></ul><ul><li>What is the evidence of poor performance? </li></ul><ul><li>How long has performance been unsatisfactory? </li></ul><ul><li>Consider training, redeployment, demotion </li></ul><ul><li>Make warning sufficiently long to give time to improve </li></ul><ul><li>Monitor during warnings </li></ul>
    18. 18. INVESTIGATION <ul><li>Independent thorough investigation </li></ul><ul><li>Evidence from witness/es </li></ul><ul><li>Obtain written signed statements </li></ul><ul><li>Person conducting investigation should not be directly involved in any subsequent disciplinary hearing </li></ul>
    19. 19. ARRANGING HEARING <ul><li>Completed investigations? </li></ul><ul><li>Arrange meeting in private </li></ul><ul><li>Consider location of meeting room </li></ul><ul><li>Advise employee – give detail so they can prepare </li></ul><ul><li>Plan the timing – at least 48 hours’ notice </li></ul><ul><li>Arrange for a Company representative to be present as a note taker and witness for the Company </li></ul>
    20. 20. NATURAL JUSTICE <ul><li>A right to be informed of the case against the employee </li></ul><ul><ul><li>Allegations </li></ul></ul><ul><ul><li>Supporting evidence </li></ul></ul><ul><li>A right to make representations before a decision is made </li></ul><ul><ul><li>Challenging evidence </li></ul></ul><ul><ul><li>Arguments on rules etc. </li></ul></ul><ul><li>A right to unbiased hearing </li></ul><ul><ul><li>Open mind </li></ul></ul><ul><ul><li>Previous involvement </li></ul></ul>
    21. 21. CONDUCTING A DISCIPLINARY INTERVIEW <ul><li>Statement of complaint </li></ul><ul><li>Employee’s reply </li></ul><ul><li>General questioning </li></ul><ul><li>Summary </li></ul><ul><li>Adjournment </li></ul><ul><li>Decision </li></ul>
    22. 22. CONSIDERATIONS <ul><li>Only if on the basis of the evidence you believe employee has committed offence </li></ul><ul><li>Is offence defined in procedure? </li></ul><ul><li>Have other employees committed similar act(s)? </li></ul><ul><li>Are there mitigating/exacerbating circumstances? </li></ul><ul><li>Is it gross misconduct? – summary dismissal </li></ul><ul><li>What stage of procedure has employee reached? </li></ul><ul><li>Should stages be missed out? </li></ul><ul><li>Warnings, suspensions, etc. </li></ul>
    23. 23. FOLLOW UP <ul><li>Further investigation? </li></ul><ul><li>Reconvene disciplinary interview </li></ul><ul><li>Advise a decision verbally </li></ul><ul><li>Confirm right of appeal </li></ul><ul><li>Written confirmation </li></ul>
    24. 24. DECIDING OUTCOME <ul><li>ALWAYS adjourn meeting to consider outcome </li></ul><ul><li>Consider positive, pro-active outcomes first </li></ul><ul><li>If warning to be given, at which stage? </li></ul><ul><li>Misconduct or gross misconduct? </li></ul><ul><li>No employee to be dismissed for first breach of discipline unless gross misconduct </li></ul><ul><li>Consider implications elsewhere in the business </li></ul>
    25. 25. CONSTRUCTION OF WARNING LETTER <ul><li>Preamble </li></ul><ul><li>Time and date </li></ul><ul><li>Who was present </li></ul><ul><li>Represented or not </li></ul><ul><li>Nature of misconduct/performance </li></ul><ul><li>Employee’s explanation </li></ul><ul><li>Disciplinary “penalty” </li></ul><ul><li>What is intended </li></ul><ul><li>Any period of time given for improvement </li></ul><ul><li>What will happen if not met </li></ul><ul><li>Period of time warning will remain active </li></ul><ul><li>Right of appeal </li></ul>
    26. 26. APPEALS PROCESS <ul><li>Procedure </li></ul><ul><li>Grounds of Appeal </li></ul><ul><li>Independent person not previously involved to hear appeal </li></ul><ul><li>Conclusions </li></ul><ul><li>Feedback </li></ul>
    27. 27. HOW TO AVOID EMPLOYMENT TRIBUNAL <ul><ul><li>Treat all employees in same way </li></ul></ul><ul><ul><li>Follow up possible disciplinary action quickly </li></ul></ul><ul><ul><li>Know, observe and follow your disciplinary procedure </li></ul></ul><ul><ul><li>Keep records carefully </li></ul></ul><ul><ul><li>Do not dismiss unless gross misconduct or current final warning exists </li></ul></ul><ul><ul><li>Use the appeal process </li></ul></ul>
    28. 28. DISPEL A MYTH <ul><li>Automatically unfair dismissal when employed for less than one year : </li></ul><ul><ul><li>A dismissal for exercising a statutory right </li></ul></ul><ul><ul><li>A dismissal related to the employee having made a protected disclosure – whistle blowing </li></ul></ul><ul><ul><li>A dismissal related to pregnancy or maternity </li></ul></ul><ul><ul><li>A dismissal related to unlawful discrimination </li></ul></ul>
    29. 29. COST IF YOU GET IT WRONG Basic Award (Maximum) £11,400 Compensatory Award (Maximum) £65,300 Additional Award (Maximum) £19,760 Total Maximum £96,460 Discrimination No limit
    30. 30. CRISPIN RHODES LTD <ul><li>Contact Angela for further advice: </li></ul><ul><li>T: 01908 230969 </li></ul><ul><li>M: 07974 814939 </li></ul><ul><li>E: [email_address] </li></ul>
    31. 31. DISCIPLINE, DISCIPLINE, DISCIPLINE
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