Step 1: Understanding the options - Disciplinary procedure (2024)

Step 1: Understanding the options

A disciplinary procedure is a formal way for an employer to deal with an employee's:

  • 'misconduct' (unacceptable or improper behaviour)
  • 'capability' (performance)

Before starting a disciplinary procedure, the employer should first see whether the problem can be resolved in an informal way. This can often be the quickest and easiest solution.

The employer should try solving the issue with their employee by:

  • privately talking with them and any other staff involved
  • listening to their point of view
  • agreeing improvements to be made
  • setting up a training or development plan, if it's a performance issue

Dealing with capability issues

Capability or performance is about an employee's ability to do the job.

Some employers might have a separate procedure for dealing with capability or performance issues that should be based on:

  • support
  • training
  • encouragement to improve

Whether the employer deals with the issue under a capability or disciplinary procedure, they must do so fairly.

What counts as misconduct

Misconduct is when an employee's inappropriate behaviour or action breaks the organisation's rules.

Some misconduct examples include:

  • bullying
  • harassment
  • 'insubordination' (refusing to do work)
  • being absent without permission (some people call it absent without leave or 'awol')

But your organisation might have its own examples.

If misconduct happens outside work

An employee could face disciplinary action for misconduct outside work.

For example, where an employee's behaviour in front of external clients at the work Christmas party reflects badly on the company.

It depends on how serious the employer sees the misconduct and whether it could have a bad effect on the business.

It's important the employer carries out a thorough investigation and can show the effect on the business.

When there is gross misconduct

Some acts count as 'gross misconduct' because they are very serious or have very serious effects.

If an employer finds there has been gross misconduct, they should still carry out an investigation and the full disciplinary procedure. They might then decide on dismissal without notice or payment in lieu of notice.

Examples of gross misconduct at work could include:

  • fraud
  • physical violence
  • 'gross negligence' (serious lack of care to their duties or other people)
  • serious insubordination, for example refusing to take lawful and reasonable orders from a supervisor

What is seen as gross misconduct can depend on the organisation. Your organisation might have its own policy or rules with examples.

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Step 1: Understanding the options - Disciplinary procedure (2024)

FAQs

What are the 4 stages of the disciplinary procedure? ›

The steps in the disciplinary procedure generally follow graduated steps including a verbal warning, written warning, final written warning, and dismissal. However, in cases of gross or serious misconduct it is permissible to go straight to stage 4 of the procedure.

How do you pass a disciplinary hearing? ›

How to be successful at a disciplinary hearing
  1. Ensure you are aware of what the allegations against you are.
  2. Prepare properly for the disciplinary hearing.
  3. Don't try to set up an ambush at the disciplinary hearing.
  4. Turn up in person to the disciplinary hearing and engage with the process.

What are 4 steps generally found in disciplinary procedures in employment situations? ›

Typical progressive discipline steps
  • Counseling. Counseling is usually the initial step.
  • Written warning.
  • Suspension without pay.
  • Termination.

What is the first step in disciplinary action? ›

The most common type of disciplinary action is the verbal warning; this is the first stage of the disiplinary procedure which typically results in the issue being resolved or the employee addressing their misconduct.

What is a Stage 3 disciplinary meeting? ›

Stage 3 - Final written warning

Following this meeting, the employee will receive a letter recording the nature and outcome of the disciplinary meeting. The employee will be asked to sign a copy of the warning letter to confirm understanding of the terms of the letter.

What are the three disciplinary actions? ›

Depending on the circ*mstances and the seriousness of the offence, disciplinary action takes the form of one of the following: Verbal reprimand and explanation. Written warning. Final written warning.

Can you get fired in a disciplinary hearing? ›

A disciplinary hearing is not necessarily a dismissal. It is a meeting to discuss allegations of misconduct or performance issues and to give the employee an opportunity to respond. The outcome of a disciplinary hearing can vary, ranging from no action, a warning, or in some cases, it could lead to dismissal.

What not to say in an HR meeting? ›

What should you not say to HR?
  • The general rule is don't bring your everyday complaints to HR. They're not there to make your job better or easier and they might fire you simply because they don't want to hear it. ...
  • Discrimination. ...
  • Medical needs. ...
  • Pay issues. ...
  • Cooperate with HR if asked, but be smart about it.

How many warnings before dismissal? ›

Thus, if the employer's Code states that for a first offense of misconduct a verbal warning must be given and for the second offense of a similar nature a written warning must be given, then for the third offense a final written warning then on the fourth offense dismissal, then the employer is generally bound to ...

What is unfair disciplinary action? ›

Unfair disciplinary actions are those that are disproportionate or unjustified given your employee's behaviour or performance. They fall outside your established, documented procedures for disciplinary action, or are inconsistent from how you've dealt with similar cases in the past.

Can I get fired for not signing a written warning? ›

The lesson: All disciplinary notices should: 1) contain a line for the employee to sign and acknowledge receipt of the warning; 2) expressly state that acknowledgement of receipt does not constitute an admission of the conduct at issue, but that refusal to sign can, and will, result in termination of employment; and, 3 ...

Does disciplinary action mean fired? ›

Does “Disciplinary Action” Mean “Fired”? Though a disciplinary action can result in termination, it doesn't have to. It's up to the employer and managerial team to determine what type of disciplinary action is appropriate for the given violation.

What is a stage 1 disciplinary? ›

Stage 1: Verbal Warning

You would usually issue a verbal warning in cases of minor misconduct / underperformance or initial concerns with levels of absence. The verbal warning will remain on your file for disciplinary purposes for a period of 6 months.

How long does disciplinary process take? ›

The disciplinary meeting should be held without unreasonable delay and allow you reasonable time to prepare your case. The law does not state what is considered to be “reasonable”, but usually at least a few days is expected and sometimes up to a week will be appropriate.

How long does it take to get a disciplinary action? ›

Whatever the cases may be, the timeframe should be reasonable. Not short enough that your staff isn't able to prepare their defence, but also not long enough that you leave the employee in an extended state of suspense. There's also no time limit for disciplinary actions, it should be reasonable.

What is the order of disciplinary? ›

Your company's disciplinary procedure should include how many verbal or written warnings are needed before a final warning or dismissal. You should be given a written warning, or if the warning was verbal a written confirmation of it, saying what it was for and how long it will remain in force.

What is the discipline process in HR? ›

Discipline is an approach used by management to modify undesirable performance and behavior through the use of a corrective action process. At the onset of any employee performance or conduct issues, supervisors are strongly encouraged to contact Employee Relations staff for assistance.

What happens during disciplinary? ›

A disciplinary hearing is not necessarily a dismissal. It is a meeting to discuss allegations of misconduct or performance issues and to give the employee an opportunity to respond. The outcome of a disciplinary hearing can vary, ranging from no action, a warning, or in some cases, it could lead to dismissal.

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