Most managers will find themselves facing a conduct problem at some point. Even if your business has clear rules and policies in place, has clearly communicated these to employees and provided appropriate training, misconduct still can (and sometimes does) occur.
How suspected misconduct is dealt with from the investigation onwards really matters – it can help you to protect your business from successful tribunal claims or expose it to unnecessary risks, it can also impact employee relations, not just on an individual basis but more widely too.
Most managers are familiar with the basics of a disciplinary process, but what are some of the key actions that can be taken in the early stages that really make a difference? We take a look at some top tips below.
- Disciplinary process – a reminder
- Investigation stage – the right person, doing the right things at the right time
- Disciplinary invitations – dotting your I’s and crossing your T’s (and remembering to do the one thing so many managers forget…)
1. Disciplinary process – a reminder
Where misconduct is suspected, the first step in many cases is to investigate the matter. If there is sufficient evidence to take formal disciplinary action, in outline, the process will usually involve:
- Inviting the employee, in writing, to attend a disciplinary meeting on reasonable notice
- Holding a disciplinary meeting (and allowing the employee to be accompanied by a colleague or trade union representative if they wish to be)
- Following the meeting, give the employee a written outcome with the right of appeal
- If the employee appeals, inviting them in writing to an appeal hearing, holding the hearing and following this giving them a written appeal decision. For most businesses, this is the final step in their disciplinary process.
2. Investigation stage – the right person, doing the right things at the right time
There can be a lot to think about at the investigation stage. Here are three top tips to help your business stay on track:
- Who ‘investigates’ matters – it’s important to think not just about availability, skill/experience and appropriate seniority but also about the wider picture. Unless it’s unavoidable, you will need to have different people conducting the investigation, disciplinary hearing and appeal hearing stages – ideally with a more senior person conducting the appeal hearing. As a point of fairness, those carrying out each stage of the process should not usually have had any direct prior involvement in the issue (e.g as a key witness to the events).
- Don’t ‘skimp’ – Investigations should be carried out appropriately and be full and thorough; failures/mistakes at this stage can and do cause or contribute to successful employment tribunal claims if disciplinary action is later taken, particularly if it results in a dismissal. Remember, the purpose of carrying out an investigation is to find out all the relevant facts – what steps are required will depend on each individual situation, but are often likely to include holding an investigation with the suspected wrongdoer, taking witness statements and reviewing relevant policies/procedures.
- Don’t delay – it’s important that concerns are investigated promptly and without unreasonable delay, or fairness can be affected. Just think, if the business was aware of an issue months ago, and took no steps to investigate or address the matter then, it will be very difficult to safely do so now, unless there are very exceptional circumstances.
3. Disciplinary invitations – dotting your I’s and crossing your T’s (and remembering to do the one thing so many managers forget…)
It will come as no surprise that it’s vital to get it right when it comes to disciplinary invitations. Alongside meeting arrangements, there are certain things which must be included, such as clear and well-drafted allegation/s, a list of evidence, the possible outcome/s if the allegations are upheld and the employee’s right of accompaniment. Because it is so important to get the disciplinary invitation right, particularly the allegations, we advise you to contact Kingfisher Professional Services Ltd for assistance with drafting a disciplinary invitation.
Top Tips:
- Scheduling – When scheduling a disciplinary hearing, bear in mind the employee is entitled to a reasonable amount of time to prepare their defence – five calendar days is usually considered appropriate
- Don’t forget – To provide the employee with copies of all the evidence at the same time as providing them with the invitation letter, this is something that can often be overlooked. This can cause delays in the process and other issues – avoiding this misstep is a quick and easy win for your business
If you are concerned about a possible conduct issue, please get in touch for advice before taking action.