A short and simple guide to help Business Owners to avoid the disciplinary process as well as the steps to take if you have to handle a disciplinary situation.

1. Conflict and Disciplinary A Positive Approach
Preventing the Disciplinary Process
Issue Contracts
& Handbook
Handle Minor
Situations
Review Probationary
Periods

2. Conflict and Disciplinary A Positive Approach
Preventing the Disciplinary Process
Issue Contracts
& Handbook
Handle Minor
Situations
Review Probationary
Periods
Give every employee a copy of their statement
of terms and conditions (contract), house rules
and employee handbook to read before they
start work, this ;
• Is a legal requirement
• Makes it clear what conduct is unacceptable
• Gives you some freedom by making it clear the full
procedure is not contractual and can be shortened in
some situations.
• Nip minor misdemeanours in the bud by
having a quiet word first.
• If the conduct persists issue a letter of concern
(Template 1). (Not a warning simply a record of
the matter discussed and requiring
• If the conduct persists, instigate the
disciplinary process.
• Review new employees regularly during probation
to iron out issues, improve retention and deal with
unsuccessful hires early and without
complication.
• Ensure all new employees attend a final review to
confirm a successful probation or extend its period.
• Issue a letter summarising the meeting and
confirming the outcome. (Templates 2, 3, 4)

3. Conflict and Disciplinary A Positive Approach
Instigating the Disciplinary Process
seek advice1 2investigate
disciplinary
hearing3 outcome4

4. Conflict and Disciplinary A Positive Approach
1seek advice When a disciplinary or capability issue arises…
do
Speak to your operations manager first who will decide if the circumstances should be
dealt with through HR (most certain if the outcome could be dismissal or action short of
dismissal). If your Operations Manager is unavailable, call HR.
If the matter is serious and you cannot seek advice then suspend on full pay pending
investigation.
Always conduct correspondence in writing. Use the template letter for suspension
(Template 5). This is important as it makes it clear that failing to be available during normal
working hours to attend meetings will result in suspension pay being stopped.
do not
Dismiss or demote anyone unless you are certain about what you are doing.
Severely cut someone’s hours because you want them to leave – this could be constructive
dismissal. Seek advice and deal with the real issue directly.
did you know?
All employees with 4 weeks service are entitled to a week’s notice or payment in lieu.

5. Conflict and Disciplinary A Positive Approach
2investigate When it is known or suspected that an employee has committed an act of misconduct…
do
Conduct a full, objective investigation to establish the facts and decide if there are
grounds for formal disciplinary action.
Agree with your Ops Manager who will conduct the investigation and chair the
disciplinary hearing. Where possible, use experienced GMs from another site to assist.
Invite, by letter (Template 6), the person in question to the investigation meeting.
Take statements from witnesses.
When the facts have been established decide if a disciplinary hearing is necessary.
If NO disciplinary action is to be taken, communicate this in writing to the person.
(Template 7)
did you know?
You must take notes of ALL meetings.
Those present should sign and agree that they are accurate.

6. Conflict and Disciplinary A Positive Approach
3disciplinary
hearing
When the investigation leads to the need for a disciplinary hearing…
do
Invite the person to attend the disciplinary hearing at least 24 hours beforehand.
(Template 8)
Clearly outline and word correctly allegations in the letter.
Provide the person with of a copy of the evidence that will be used at the hearing.
Hold the disciplinary hearing. Put the case to the person and hear their version of events.
Have someone present to take the minutes.
did you know?
For all disciplinary correspondence you must use template letters.

7. Conflict and Disciplinary A Positive Approach
4outcome After the hearing…
do
Decide on the appropriate action to take.
Communicate the outcome and appeal arrangements, in writing, using the appropriate
letter (Templates 9, 10, 11 and 12).

8. Title What do I use it for? Time Frame to Issue
1 Letter of Concern To confirm informal discussions addressing minor misdemeanours and capability concerns.
It also ensures you have a record of behaviour should you need to take further and more formal action. Within 48 hours
2 Invite to Probationary Review To invite a person to review of their overall performance during their probationary period and set out
their entitlement and likely outcomes. Give a weeks’ notice
3 Probation Period Unsuccessful or Extended To confirm the outcome of a probationary review meeting where the decision is to dismiss or extend
the probationary period, due to unsatisfactory performance. It also provides a summary of any
entitlement and the appeal process. Within 48 hours
4 Probation Passed To confirm a successful probationary period and continuation of employment as per the statement
of terms and conditions. Within 48 hours
5 Suspension on Full Pay To inform a person of their suspension, on full pay, pending an investigation and the terms which
apply whilst the suspension is in place. Also use if you have been unable to seek advice and the
matter is serious. Immediately
6 Invite to Investigation Meeting To inform a person of the date and time of an investigatory meeting, the reason for and the terms
which apply. Minimum of 24 hours
7 Outcome of an Investigation - No Disciplinary Action To inform a person that following their disciplinary investigation
NO action will be taken and when they should return to work. Within of 48 hours
8 Invite to a Disciplinary Hearing To inform the person of the date and time of the disciplinary hearing, the evidence which will be used,
the possible outcomes and their entitlement. Min 48 hours
9 Verbal or Written Warning To inform a person that the outcome of their disciplinary hearing will be a verbal or written warning,
the considerations made, the improvements required, its length of validity and the appeal process. Within of 48 hours
10 Final Written Warning To inform a person that the outcome of their disciplinary hearing will be a final written warning,
the considerations made, the improvements required, its length of validity and the appeal process. Within of 48 hours
11 Dismissal with Notice To inform a person that the outcome of their disciplinary hearing will be dismissal with notice,
the considerations made, the entitlements and the appeal process. Within of 48 hours
12 Dismissal without Notice for Gross Misconduct To inform a person that the outcome of their disciplinary hearing will be dismissal without notice,
the considerations made, the entitlements and the appeal process. Within of 48 hours
summary of templates
Always use the correct letter at every stage of the disciplinary process to ensure;
• There is no confusion; everyone is clear about what is happening, where, when and why.
• There is evidence that you have followed the correct process should there be a case of unfair dismissal.
• Everyone agrees with what is said, avoiding disagreements or accusations which may complicate further stages of the process or lead to fresh conflicts.
• You have a record of the investigation and outcome which may be relevant if further misdemeanours occur.