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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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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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