Any disciplinary procedure must be fair, initially so the employee can not make a claim against the employer, and, in the long term, to be used as an encouragement rather than a punishment, which would be impossible with an unfair procedure.
ACAS has set out a Code of Practice which is the basis of this sheet.
Once a disciplinary or appeals procedure is incorporated in the contract of employment it must be adhered to. The employment act 2002 makes it compulsory for a disciplinary procedure to be part of the contract, for existing contracts that do not have the procedures listed then the ACAS procedure is automatically implied.
To give the employee a chance to correct their wrong doings a system of three warnings is recommended, the first verbal with optional written confirmation, the next two written. The warnings will set out what is wrong, how it can be corrected and the time frame. The final action is then dismissal.
As soon as a possible disciplinary matter arises all the facts should be fully investigated, preferably by different members of management to avoid bias, before a decision on any course of action is taken.
The employee must be made aware, in advance of the hearing, of the allegations against them and the supporting statements etc should be made available to them. The employee should be allowed to question witnesses.
An opportunity must be given for the employee to explain any mitigating circumstances. As the employer has a legal obligation to consider all factors it is a good idea to hold a formal hearing, which includes this right, at every stage and, at a minimum, before dismissal.
An employee has the right to be accompanied by either a trade union official or fellow employee selected by themselves. They will be allowed to address the hearing and confer with the employee, but not to answer on their behalf. The accompanying person must be allowed the time off to attend.
