Setting up a disciplinary procedure

• Contact Acas for their Code of Practice; your procedures must be at least as good as the statutory three-step minimum outlined.
• Put your procedures in writing and communicate them to all employees (for example, through a handbook). Ensure they understand the rules and their rights.
• Identify what issues your disciplinary procedure needs to cover: for example, work performance, theft, discriminatory, offensive or inappropriate behaviour
• Classify offences: minor offences, repeated minor offences, misconduct, and gross misconduct are the most commonly used categories.
• Provide examples of misconduct; do not try to produce an exhaustive list or be too specific if the offence can be a matter of degree.
• Describe offences constituting gross misconduct, meriting instant dismissal; consider whether an employment tribunal would agree with you.
• Set up a series of warning steps for offenders: for example, oral warning for minor offences, written warning, final written warning (and ultimately dismissal).
• Set up a procedure for holding formal disciplinary interviews; decide who will have the authority to hold meetings and take disciplinary action.
• Follow the formal 'three-step' minimum - explain in writing what the problem is, arrange a face-to-face meeting to discuss the problem and allow for an appeal if the employee is unhappy with the outcome.
• Reserve the right to enter the procedure at the level the severity of the offence justifies (eg an immediate final warning for serious misconduct).
• Set timescales for the stages of the disciplinary process, allowing time for improvements before issuing further warnings.
• Decide on a record-keeping system and how long warnings will remain in effect before they lapse.
• Ensure that your procedure respects employees' rights: for example, to be accompanied by a colleague at a hearing and to be treated fairly.
• Train managers; stress the need to be fair and consistent and to keep written records.
• Continue to use informal warnings to handle one-off minor offences.

Cardinal Rules

Do:

• ensure your procedures are at least as good as the statutory minimum
• produce a written procedure and communicate it to employees
• categorise the seriousness of different offences
• provide for objective disciplinary meetings(or hearings)
• set up a series of warning steps
• allow time for improvements to behaviour or performance
• provide for a right of appeal
• train managers to be fair and consistent

Don't:

• try to produce a complete listof offences
• ignore employees' rights
• ignore the use of informal warnings