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Disciplinary and grievance processes checklist
We have prepared the following checklist which we hope will be useful to your managers when they deal with disciplinary and grievance issues.
General
Read the Code before embarking on any disciplinary or grievance process. It is not a long document and is easy to read. Always have a copy available so that you can refer to it if you need to.
Managing a disciplinary process
1. When managing any disciplinary process try to adopt an impartial common sense approach. In particular:
- try to resolve issues informally, if possible;
- do not delay in investigating the facts. You should avoid the same person carrying out the investigation and the disciplinary hearing or that person being involved as a witness;
- if you need to suspend an employee keep the period of suspension as short as possible. Make it clear in any covering letter that suspension is a neutral act not a disciplinary sanction; and
- if disciplinary action is necessary inform the employee in writing. Provide enough detail and supporting evidence to ensure the employee knows the charges against him. Make it clear in any letter what the possible outcomes of a disciplinary hearing will be.
2. At any disciplinary hearing explain the complaint and take the employee through the evidence. Give the employee and their companion the chance to answer, ask any questions and present their own evidence and witnesses should they wish.
3. Tell the employee of the outcome. This should always be recorded in writing. Explain the sanction and the consequences of any further breach. If a warning is to remain on file say how long this will be and do not forget to inform the employee of a right of appeal in all situations.
4. If dismissal is a possible sanction make sure that the person hearing the disciplinary has authority to make such a decision.
5. Wherever possible appeals should be heard by somebody who has not been previously involved in the process.
6. An employee has the right to be accompanied at an appeal and the outcome of any appeal should be recorded in writing.
Managing grievance procedures
When managing a grievance procedure you should ensure that:
- You understand how the employee wants their complaint dealt with. This could either be formally or informally.
- Do not delay in arranging any form of grievance hearing and tell the employee of their right to be accompanied at the hearing.
- At any hearing allow the employee to explain his grievance and how he feels it should be resolved. If necessary adjourn to carry out a further investigation and resume the hearing at a later time.
- Record any decision in writing. Do not delay in reaching a decision. Set out clearly what actions the employer intends to take to resolve the grievance. Inform the employee of his right of appeal and to be accompanied at any appeal.
- Do not delay in hearing an appeal. Appeals should be heard by a manager who has not previously been involved with the grievance.
- Once a decision has been reached confirm this in writing as soon as possible.
For help and advice on managing disciplinary and grievance procedures please
contact Tony McPhillips, call 0191 211 7908 or email advice@muckle-llp.com.
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