acas code disciplinary

Discipline and grievances at work

The Acas guide

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Every year Acas helps employers and employees from thousands of workplaces. That means we keep right up to date with today’s employment relations issues – such as discipline and grievance handling, preventing discrimination and communicating effectively in workplaces. Make the most of our practical experience for your organisation – fi nd out what we can do for you.

We informWe answer your questions, give you the facts you need and talk through your options. You can then make informed decisions. Contact us to keep on top of what employment rights legislation means in practice – before it gets on top of you. Call our helpline 08457 47 47 47 or visit our website www.acas.org.uk.

We advise and guideWe give you practical know-how on setting up and keeping good relations in your organisation. Look at our publications on the website or ask our helpline to put you in touch with your local Acas adviser. Our Equality Direct helpline 08456 00 34 44 advises on equality issues, such as discrimination.

We trainFrom a two-hour session on the key points of new legislation or employing people to courses specially designed for people in your organisation, we offer training to suit you. Look on the website for what is coming up in your area and to book a place or talk to your local Acas offi ce about our tailored services.

We work with youWe offer hands-on practical help and support to tackle issues in your business with you. This might be through one of our well-known problem-solving services. Or a programme we have worked out together to put your business fi rmly on track for effective employment relations. You will meet your Acas adviser and discuss exactly what is needed before giving any go-ahead.

employment relations needs

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Contents

Introduction 3Handling discipline – an overview 5Handling grievances – an overview 6Using mediation 7

Discipline 9Keys to handling disciplinary problems in the workplace 10Resolve discipline issues informally 10Develop rules and procedures 11Keeping written records 15Dealing fairly with formal disciplinary action 16Establishing the facts 17Informing the employee 18Holding a disciplinary meeting 18Allowing the employee to be accompanied 23Taking action after the disciplinary meeting 26Provide employees with an opportunity to appeal 33Dealing with special cases 35

Grievances 39Keys to handling grievances in the workplace 40Resolve grievances informally 40Develop rules and procedures 40What is a grievance and why have a procedure? 40Keeping written records 42Dealing with formal grievances 43Let the employer know the nature of the grievance 44Holding a grievance meeting 44Allow the employee to be accompanied at the grievance meeting 47Decide on appropriate action 50Allow the employee to take the grievance further if not resolved 51

Appendix 1 54Disciplinary rules for small organisations 54

Appendix 2 55Sample disciplinary and grievance procedures 55

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Acas Discipline & Grievances Text 16/3/09 12:34 Page 1

DISCIPLINE AND GRIEVANCES AT WORK – THE ACAS GUIDE2

Appendix 3 60Sample letters 60

Appendix 4 71Dealing with absence 71

Appendix 5 77Basic principles of the Data Protection Act 1998 and Disability 77Discrimination Act 1995

Glossary 79

Notes 81

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INTRODUCTION 3

This guide provides good practiceadvice for dealing with discipline andgrievances in the workplace. Itcomplements the Acas Code ofPractice on disciplinary andgrievance procedures. Extracts fromthe Code of Practice are reproducedin shaded boxes accompanied byfurther practical advice andguidance.

The Acas Code of Practice sets outprinciples for handling disciplinaryand grievance situations in theworkplace. This guide provides moredetailed advice and guidance thatemployers and employees will oftenfind helpful both in general terms andin individual cases.

Employment tribunals are legallyrequired to take the Acas Code ofPractice into account whenconsidering relevant cases. Tribunalswill also be able to adjust anycompensatory awards made in thesecases by up to 25 per cent forunreasonable failure to comply with

any provision of the Code. Thismeans that if the tribunal feels thatan employer has unreasonably failedto follow the guidance set out in theCode they can increase any awardthey have made by up to 25 percent. Conversely, if they feel anemployee has unreasonably failed tofollow the guidance set out in thecode they can reduce any awardthey have made by up to 25 per cent.

Employment tribunals are notrequired to have regard to guidancein this booklet that does not formpart of the Code.

The law on unfair dismissal requiresemployers to act reasonably whendealing with disciplinary issues. Whatis classed as reasonable behaviourwill depend on the circumstances ofeach case, and is ultimately a matterfor employment tribunals to decide.However, the core principles are setout in the Acas Code of Practice.

The foreword to the Code and thisguide emphasise that employers andemployees should always seek toresolve disciplinary and grievanceissues in the workplace. If disciplineand grievance issues are settled atan early stage they are normally lesstime-consuming and less likely todamage working relationships.

Introduction 1

Extract: Acas Code of Practice ondisciplinary and grievance procedures

This Code is designed to helpemployers, employees and theirrepresentatives deal withdisciplinary and grievancesituations in the workplace.


DISCIPLINE AND GRIEVANCES AT WORK – THE ACAS GUIDE4 DISCIPLINE AND GRIEVANCES AT WORK – THE ACAS GUIDE4

Good employment relations practices– including for recruitment, inductiontraining, communications andconsultation – can prevent manydiscipline and grievance problemsarising. Organisations are also morelikely to have positive employmentrelationships if they make efforts togain their employees’ commitmentthrough:

• showing them clear leadership andletting them know how they cancontribute

• engaging them in their work andgiving them the power to makesome decisions themselves ratherthan trying to control and restrictthem

• showing them respect andappreciation

• giving them ways to voice theirviews and concerns.

Acas provides comprehensiveguidance on employment issues inits publications or on its website andinformation about suitable training.For further details see the Acaswebsite www.acas.org.uk or call theAcas Helpline 08457 47 47 47.


INTRODUCTION 5

1• Always follow the Acas Code of Practice on disciplinary and

grievance procedures• It may be helpful to consider mediation at any stage – see p7

Take informalactionwhereverpossible (see p10)

Issue resolved –ActioncompleteNOTE: checkyour policiesand proceduresare up-to-date(see p55)

Handling discipline – an overview

Take formal action• establish facts

• notify employeein writing

• hold meeting

• allow the employee to be accompanied

• decide action

(see p16)

Inform employee ofresult• no penalty

• first written warning/improvement note

• final written warning

• dismissal or other sanction

(see p28)

Conduct orperformancefails toimprovesufficiently =take furtheraction

Provide employees withan opportunity to appeal

(see p33)

Conduct orperformanceimprove =actioncomplete

Employeedismissed



Handling grievances – an overview

Always follow the Acas Code of Practice on

disciplinary andgrievance procedures

Resolvegrievancesinformally –often a quietword is all thatis needed

• It may be helpful to consider mediation at any stage of a dispute. For more information (see p7)

• Train managers and employee representatives to handle grievances effectively

Use yourgrievanceprocedure whenit is not possibleor appropriate toresolve the matterinformally

• Employee to let the employer know the grievance in writing

• Meeting to discuss the grievance

• Allow the employee to be accompanied atthe meeting

• Decide on appropriateaction

• Allow the employee toappeal if not satisfied

(see p45-51)

Deal with appealimpartially and wherepossible by a managernot previously involved


INTRODUCTION 7

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Using mediation

An independent third party or mediator can sometimes help resolvedisciplinary or grievance issues. Mediation is a voluntary process wherethe mediator helps two or more people in dispute to attempt to reach anagreement. Any agreement comes from those in dispute, not from themediator. The mediator is not there to judge, to say one person is rightand the other wrong, or to tell those involved in the mediation what theyshould do. The mediator is in charge of the process of seeking to resolvethe problem but not the outcome.

Mediators may be employees trained and accredited by an externalmediation service who act as internal mediators in addition to their dayjobs. Or they may be from an external mediation provider. They can workindividually or in pairs as co-mediators.

There are no hard-and-fast rules for when mediation is appropriate but itcan be used:

• for conflict involving colleagues of a similar job or grade, or between aline manager and their staff

• at any stage in the conflict as long as any ongoing formal proceduresare put in abeyance, or where mediation is included as a stage in theprocedures themselves

• to rebuild relationships after a formal dispute has been resolved

• to address a range of issues, including relationship breakdown,personality clashes, communication problems, bullying and harassment.

In some organisations mediation is written into formal discipline andgrievance procedures as an optional stage. Where this is not the case, it isuseful to be clear about whether the discipline and grievance procedurecan be suspended if mediation is deemed to be an appropriate method ofresolving the dispute.

Grievances most obviously lend themselves to the possibility of mediation.Managers may not always see it as appropriate to surrender their



discretion in relation to disciplinary issues where they believe a point ofprinciple is at stake, such as misconduct or poor performance. However,disciplinary and grievance issues can become blurred, and the employermay prefer to tackle the underlying relationship issues by means ofmediation.

Cases unsuitable for mediationMediation may not be suitable if:

• used as a first resort – because people should be encouraged to speakto each other and talk to their manager before they seek a solution viamediation

• it is used by a manager to avoid their managerial responsibilities

• a decision about right or wrong is needed, for example where there ispossible criminal activity

• the individual bringing a discrimination or harassment case wants itinvestigated

• the parties do not have the power to settle the issue

• one side is completely intransigent and using mediation will only raiseunrealistic expectations of a positive outcome.

For more information about mediation see the Acas website atwww.acas.org.uk and the Acas/CIPD guide Mediation: An employer’sguide which can be downloaded from the website.


DISCIPLINE - KEYS TO HANDLING DISCIPLINARY PROBLEMS IN THE WORKPLACE 9

Discipline Keys to handling

disciplinary problems in the workplace



Resolve discipline issuesinformallyCases of minor misconduct orunsatisfactory performance areusually best dealt with informally. Aquiet word is often all that is requiredto improve an employee’s conduct orperformance. In some casesadditional training, coaching andadvice may be what is needed. Aninformal approach may beparticularly helpful in small firms,where problems can be resolvedquickly and confidentially. There willbe situations where matters are moreserious or where an informalapproach has been tried but is notworking.

If informal action does not bringabout an improvement, or themisconduct or unsatisfactoryperformance is considered tooserious to be classed as minor,employers should provide employeeswith a clear signal of theirdissatisfaction by taking formalaction.

How should it be done? Talk to the employee in private. Thisshould be a two-way discussion,aimed at discussing possibleshortcomings in conduct orperformance and encouragingimprovement. Criticism should beconstructive, with the emphasisbeing on finding ways for theemployee to improve and for theimprovement to be sustained.

Discipline Keys to handling disciplinary problems in

the workplace Discipline in practice 1A valued and generally reliableemployee is late for work on anumber of occasions causingdifficulty for other staff who haveto provide cover.

You talk to the employee on hisown and he reveals that he hasrecently split up with his wife andhe now has to take the children toschool on the way to work. Youagree a temporary adjustment tohis start and finish times and heundertakes to make arrangementsfor ‘school run’ cover which solvesthe problem. You decide thatformal disciplinary action is notappropriate.


KEYS TO HANDLING DISCIPLINARY PROBLEMS IN THE WORKPLACE 11

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Listen to whatever the employee hasto say about the issue. It maybecome evident there is no problem– if so make this clear to theemployee.

Where improvement is required makesure the employee understands whatneeds to be done, how theirperformance or conduct will bereviewed, and over what period. Itmay be useful to confirm in writingwhat has been decided.

Be careful that any informal actiondoes not turn into formal disciplinaryaction, as this may unintentionallydeny the employee certain rights,such as the right to be accompanied(see p23). If, during the discussion, itbecomes obvious that the mattermay be more serious, the meetingshould be adjourned. The employeeshould be told that the matter will becontinued under the formaldisciplinary procedure.

Keep brief notes of any agreedinformal action for referencepurposes. There should be reviewsof progress over specified periods.

Consider at any stage whether theuse of an independent mediator maybe helpful (see p7).

Develop rules andprocedures

Rules and performancestandards Clear rules benefit employees andset standards of conduct. They alsohelp employers to act fairly andconsistently.

Employers should also set standardsof performance so that employeesknow what is expected of them.This is usually done as part of anorganisation’s performancemanagement which will involveagreeing objectives and reviewingperformance on a regular basis.


Fairness and transparency arepromoted by developing andusing rules and procedures forhandling disciplinary andgrievance situations. These shouldbe set down in writing, be specificand clear. Employees and, whereappropriate, their representativesshould be involved in thedevelopment of rules andprocedures. It is also important tohelp employees and managersunderstand what the rules andprocedures are, where they canbe found and how they are to beused.



What should rules cover? Different organisations will havedifferent requirements but rules oftencover such matters as:

• timekeeping

• absence1

• health and safety

• use of organisation facilities

• discrimination, bullying and harassment

• personal appearance

• the types of conduct that might be considered as ‘grossmisconduct’ (see p31).

How should rules be drawn upand communicated?Rules are likely to be more effective ifthey are accepted as reasonable bythose covered by them and thosewho operate them. It is goodpractice to develop rules inconsultation with employees (andtheir representatives whereappropriate) and those who will haveresponsibility for applying them.

Unless there are reasons whydifferent sets of rules apply todifferent groups they should apply toall employees at all levels in theorganisation.

The rules should not discriminate onthe grounds of sex, transgender,marital or civil partnership status,racial group, sexual orientation,religion or belief, disability2 or age3.

Writing down the rules helps bothmanagers and employees to knowwhat is expected of them. The rulesshould be made clear to employees.Ideally employees should be giventheir own printed copy of the rules orwritten information about how toaccess them – eg on theorganisation’s Intranet or in theirhandbook. Employees are entitled toa written statement of employmentparticulars which must include a noteabout disciplinary rules andprocedures4.

In a small organisation, it may besufficient for rules to be displayed ina prominent place. See Appendix 1for a checklist ‘Disciplinary rules forsmall organisations’.

Special attention should be paid toensure that rules are understood byany employees without recentexperience of working life (forinstance young people or thosereturning to work after a lengthybreak), and by employees whoseEnglish or reading ability is limited orwho have a disability such as visualimpairment.



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Why have a disciplinaryprocedure?A disciplinary procedure is themeans by which rules are observedand standards are maintained. Theprocedure should be used primarilyto help and encourage employees toimprove rather than just as a way ofimposing punishment. It provides amethod of dealing with any apparentshortcomings in conduct orperformance and can help anemployee to become effective again.The procedure should be fair,effective, and consistently applied.

What should disciplinaryprocedures contain?When drawing up and applyingprocedures, employers shouldalways bear in mind principles offairness. For example, employeesshould be informed of the allegationsagainst them, together with thesupporting evidence, in advance of

the meeting. Employees should begiven the opportunity to challengethe allegations before decisions arereached and should be provided witha right to appeal. Good disciplinaryprocedures should:

• be in writing

• be non-discriminatory

• provide for matters to be dealtwith speedily

• allow for information to be keptconfidential

• tell employees what disciplinaryaction might be taken

• say what levels of managementhave the authority to take thevarious forms of disciplinary action

• require employees to be informedof the complaints against themand supporting evidence, before adisciplinary meeting

• give employees a chance to havetheir say before managementreaches a decision

• provide employees with the rightto be accompanied

• provide that no employee isdismissed for a first breach of discipline, except in cases of grossmisconduct


Disciplinary situations includemisconduct and/or poorperformance. If employers have aseparate capability procedure theymay prefer to addressperformance issues under thisprocedure. If so, however, thebasic principles of fairness set outin this Code should still befollowed, albeit that they mayneed to be adapted.



• require management to investigatefully before any disciplinary actionis taken

• ensure that employees are givenan explanation for any sanctionand allow employees to appealagainst a decision

• apply to all employees, irrespectiveof their length of service, status orsay if there are different rules fordifferent groups and ensure that:

– any investigatory period of suspension is with pay, and specify how pay is to be calculated during this period. If, exceptionally, suspension is to be without pay, this must be provided for in the contract of employment

– any suspension is brief, and is never used as a sanction against the employee prior to a disciplinary meeting and decision. Keep the employee informed of progress

– the employee will be heard in good faith and that there is no pre-judgement of the issue

– where the facts are in dispute, no disciplinary penalty is imposed until the case has been carefully investigated, and there is a reasonably held belief that the employee committed the act in question.

Samples of disciplinary proceduresare at Appendix 2 – Sampledisciplinary and grievanceprocedures, and may be adaptedaccording to the requirements of theorganisation.

Reviewing rules and proceduresKeep rules and procedures underreview to make sure they are alwaysrelevant and effective. Address anyshortcomings as they arise.Employees and their representativesshould be consulted before new oradditional rules are introduced.

TrainingGood training helps managersachieve positive outcomes, reducingthe need for any further disciplinaryaction. Those responsible for usingand operating the disciplinary rulesand procedures, including managersat all levels, should be trained for thetask. Ignoring or circumventing theprocedures when dismissing anemployee is likely to have a bearingon the outcome of any subsequentemployment tribunal claim. If theorganisation recognises trade unions,or there is any other form ofemployee representation, it can beuseful to undertake training on a jointbasis – everyone then has the sameunderstanding and has anopportunity to work through theprocedure, clarifying any issues thatmight arise. For information aboutsuitable training see the Acaswebsite www.acas.org.uk.



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Keeping written records

What records should be kept? The foreword to the Code of Practiceadvises employers to keep a writtenrecord of any disciplinary orgrievances cases they deal with.

Records should include:

• the complaint against theemployee

• the employee’s defence

• findings made and actions taken

• the reason for actions taken

• whether an appeal was lodged

• the outcome of the appeal

• any grievances raised during thedisciplinary procedure

• subsequent developments

• notes of any formal meetings.

Records should be treated asconfidential and be kept no longerthan necessary in accordance withthe Data Protection Act 1998. ThisAct gives individuals the right torequest and have access to certainpersonal data. The InformationCommissioner has produced Codesof Practice covering recruitment andselection, employment records,monitoring at work and informationabout an employee’s health5. Thedata protection principles areoutlined at Appendix 5.

Copies of meeting records should begiven to the employee includingcopies of any formal minutes thatmay have been taken. In certaincircumstances (for example toprotect a witness) the employermight withhold some information.



Dealing fairly with formal disciplinary action

The following pages give detailedguidance on handling formaldisciplinary issues. Always bear inmind the need for fairness whenfollowing procedures taking accountof the elements from the Acas Codeof Practice reproduced above.

Dealing with absence is only one ofany number of issues wheredisciplinary action may beconsidered. It can, however, raiseparticular problems and is dealt withseparately at Appendix 4 – Dealingwith absence.

Extract: Acas Code of Practice on disciplinary and grievance procedures

Where some form of formal action is needed, what action is reasonable orjustified will depend on all the circumstances of the particular case.Employment tribunals will take the size and resources of an employer intoaccount when deciding on relevant cases and it may sometimes not bepracticable for all employers to take all of the steps set out in this Code.

That said, whenever a disciplinary or grievance process is being followed itis important to deal with issues fairly. There are a number of elements tothis:

• Employers and employees should raise and deal with issues promptlyand should not unreasonably delay meetings, decisions or confirmationof those decisions.

• Employers and employees should act consistently.

• Employers should carry out any necessary investigations, to establishthe facts of the case.

• Employers should inform employees of the basis of the problem andgive them an opportunity to put their case in response before anydecisions are made.

• Employers should allow employees to be accompanied at any formaldisciplinary or grievance meeting.

• Employers should allow an employee to appeal against any formaldecision made.



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Establishing the facts Investigating casesWhen investigating a disciplinarymatter take care to deal with theemployee in a fair and reasonablemanner. The nature and extent of theinvestigations will depend on theseriousness of the matter and themore serious it is then the morethorough the investigation should be.It is important to keep an open mindand look for evidence whichsupports the employee’s case aswell as evidence against.

It is not always necessary to hold aninvestigatory meeting (often called afact finding meeting). If a meeting isheld, give the employee advancewarning and time to prepare.

Any investigatory meeting should beconducted by a managementrepresentative and should beconfined to establishing the facts ofthe case. It is important thatdisciplinary action is not consideredat an investigatory meeting. If itbecomes apparent that formaldisciplinary action may be neededthen this should be dealt with at aformal meeting at which theemployee will have the statutory rightto be accompanied. See also ‘Use ofexternal consultants’ on p37.

SuspensionThere may be instances wheresuspension with pay is necessary whileinvestigations are carried out. Forexample where relationships havebroken down, in gross misconductcases or where there are risks to an


It is important to carry outnecessary investigations ofpotential disciplinary matterswithout unreasonable delay toestablish the facts of the case. Insome cases this will require theholding of an investigatorymeeting with the employee beforeproceeding to any disciplinaryhearing. In others, theinvestigatory stage will be thecollation of evidence by theemployer for use at anydisciplinary hearing.

In misconduct cases, wherepracticable, different peopleshould carry out the investigationand disciplinary hearing.

If there is an investigatory meetingthis should not by itself result inany disciplinary action. Althoughthere is no statutory right for anemployee to be accompanied at aformal investigatory meeting, sucha right may be allowed under anemployer’s own procedure.

In cases where a period ofsuspension with pay is considerednecessary, this period should beas brief as possible, should bekept under review and it should bemade clear that this suspension isnot considered a disciplinary action.



employee’s or the company’s propertyor responsibilities to other parties.Exceptionally you may wish toconsider suspension with pay whereyou have reasonable grounds forconcern that evidence has beentampered with, destroyed or witnessespressurised before the meeting.

Suspension with pay should only beimposed after careful considerationand should be reviewed to ensure it isnot unnecessarily protracted. It shouldbe made clear that suspension is notan assumption of guilt and is notconsidered a disciplinary sanction.

Informing the employee

As well notifying the nature of thecomplaint and the right to beaccompanied (see p23) the employeeshould also be told about theprocedure to be followed.

A sample letter inviting an employee toa meeting is at Appendix 3.

Holding a disciplinary meetingExtract: Acas Code of Practice ondisciplinary and grievance procedures

The meeting should be heldwithout unreasonable delay whilstallowing the employee reasonabletime to prepare their case.

Employers and employees (andtheir companions) should makeevery effort to attend the meeting.At the meeting the employershould explain the complaintagainst the employee and gothrough the evidence that hasbeen gathered. The employeeshould be allowed to set out theircase and answer any allegationsthat have been made. Theemployee should also be given areasonable opportunity to askquestions, present evidence andcall relevant witnesses. Theyshould also be given anopportunity to raise points aboutany information provided bywitnesses. Where an employer oremployee intends to call relevantwitnesses they should giveadvance notice that they intend todo this.


If it is decided that there is adisciplinary case to answer, theemployee should be notified of thisin writing. This notification shouldcontain sufficient information aboutthe alleged misconduct or poorperformance and its possibleconsequences to enable theemployee to prepare to answer thecase at a disciplinary meeting. It wouldnormally be appropriate to providecopies of any written evidence,which may include any witnessstatements, with the notification.

The notification should also givedetails of the time and venue forthe disciplinary meeting and advisethe employee of their right to beaccompanied at the meeting.



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• if the employee concerned is atrade union representative discussthe case with a trade unionfull-time official after obtaining theemployee’s agreement. This isbecause the action may be seenas an attack on the union

• arrange a time for the meeting,which should be held as privatelyas possible, in a suitable room,and where there will be nointerruptions. The employee mayoffer a reasonable alternative timewithin five days of the original dateif their chosen companion cannotattend. You may also arrangeanother meeting if an employeefails to attend throughcircumstances outside theircontrol, such as illness

• try and get a written statementfrom any witness from outside theorganisation who is not preparedto or is unable to attend themeeting

• allow the employee to callwitnesses or submit witnessstatements

• consider the provision of aninterpreter or facilitator if there areunderstanding or languagedifficulties (perhaps a friend of theemployee, or a co-employee).This person may need to attend inaddition to the companion thoughideally one person should carry outboth roles

Preparing for the meetingYou should:

• ensure that all the relevant factsare available, such as disciplinaryrecords and any other relevantdocuments (for instance absenceor sickness records) and, whereappropriate, written statementsfrom witnesses

• where possible arrange forsomeone who is not involved inthe case to take a note of themeeting and to act as a witness towhat was said

• check if there are any specialcircumstances to be taken intoaccount. For example, are therepersonal or other outside issuesaffecting performance or conduct?

• be careful when dealing withevidence from a person whowishes to remain anonymous.Take written statements, seekcorroborative evidence and checkthat the person’s motives aregenuine6

• consider what explanations may beoffered by the employee, and ifpossible check them out beforehand

• allow the employee time toprepare his or her case. Copies ofany relevant papers and witnessstatements should be madeavailable to the employee inadvance



Where an employee continues to beunavailable to attend a meeting theemployer may conclude that adecision will be made on theevidence available. The employeeshould be informed where this is tobe the case. See also Appendix 4‘Dealing with absence’.

How should the disciplinarymeeting be conducted? Remember that the point of themeeting is to establish the facts, notcatch people out. The meetings maynot proceed in neat, orderly stagesbut it is good practice to:

• introduce those present to theemployee and explain why theyare there

• introduce and explain the role ofthe accompanying person ifpresent

• explain that the purpose of themeeting is to consider whetherdisciplinary action should betaken in accordance with theorganisation’s disciplinary procedure

• explain how the meeting will beconducted.

Statement of the complaint State precisely what the complaint isand outline the case briefly by goingthrough the evidence that has beengathered. Ensure that the employeeand his or her representative oraccompanying person are allowed to

• make provision for any reasonableadjustments to accommodate theneeds of a person with disabilities

• think about the structure of themeeting and make a list of pointsyou will wish to cover.

What if an employee repeatedlyfails to attend a meeting? There may be occasions when anemployee is repeatedly unable orunwilling to attend a meeting. Thismay be for various reasons, includinggenuine illness or a refusal to face upto the issue. Employers will need toconsider all the facts and come to areasonable decision on how toproceed. Considerations mayinclude:

• any rules the organisation has fordealing with failure to attenddisciplinary meetings

• the seriousness of the disciplinaryissue under consideration

• the employee’s disciplinary record(including current warnings),general work record, workexperience, position and length ofservice

• medical opinion on whether theemployee is fit to attend themeeting

• how similar cases in the past havebeen dealt with.



see any statements made bywitnesses and question them.

Employee’s reply Give the employee the opportunity tostate their case and answer anyallegations that have been made.They should be able to askquestions, present evidence and callwitnesses. The accompanyingperson may also ask questions andshould be able to confer privatelywith the employee. Listen carefullyand be prepared to wait in silence foran answer as this can be aconstructive way of encouraging theemployee to be more forthcoming.

Establish whether the employee isprepared to accept that they mayhave done something wrong or arenot performing to the required standard.Then agree the steps which should betaken to remedy the situation.

If it is not practical for witnesses toattend, consider proceeding if it isclear that their verbal evidence willnot affect the substance of thecomplaint. Alternatively, consider anadjournment to allow questions to beput to a witness who cannot attendin person but who has submitted awitness statement.

General questioning anddiscussion You should:

• use this stage to establish all thefacts

• ask the employee if they have anyexplanation for the allegedmisconduct or unsatisfactoryperformance, or if there are anyspecial circumstances to be takeninto account

• if it becomes clear during thisstage that the employee hasprovided an adequate explanationor there is no real evidence tosupport the allegation, bring theproceedings to a close

• keep the approach formal andpolite and encourage theemployee to speak freely with aview to establishing the facts. Aproperly conducted disciplinarymeeting should be a two-wayprocess. Use questions to clarifythe issues and to check that whathas been said is understood. Askopen-ended questions, forexample, ‘what happened then?’to get the broad picture. Askprecise, closed questions requiringa yes/no answer only whenspecific information is needed

• do not get involved in argumentsand do not make personal orhumiliating remarks. Avoid physicalcontact or gestures which couldbe misinterpreted or misconstruedas judgemental.

If new facts emerge, it may benecessary to adjourn the meeting toinvestigate them and reconvene themeeting when this has been done.

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Summing up Summarise the main points of thediscussion after questioning iscompleted. This allows all parties tobe reminded of the nature of theoffence, the arguments and evidenceput forward and to ensure nothing ismissed. Ask the employee if theyhave anything further to say. Thisshould help to demonstrate to theemployee that they have beentreated reasonably.

Adjournment before decision Adjourn before a decision is takenabout whether a disciplinary penaltyis appropriate. This allows time forreflection and proper consideration. Italso allows for any further checkingof any matters raised, particularly ifthere is any dispute over facts.

What problems may arise andhow should they be handled?

When an employee raises agrievance during the meeting it maysometimes be appropriate toconsider stopping the meeting and

suspending the disciplinaryprocedure – for example when:

• the grievance relates to a conflictof interest that the managerholding the disciplinary meeting isalleged to have

• bias is alleged in the conduct ofthe disciplinary meeting

• management have been selectivein the evidence they have suppliedto the manager holding the meeting

• there is possible discrimination.

It would not be appropriate tosuspend the meeting where theemployee makes an invalid point.For example if they mistakenly claimthat they have the right to be legallyrepresented or that a collectivelyagreed and applicable proceduredoes not apply to them becausethey are not a union member.

It is possible that the disciplinarymeeting may not proceed smoothly –people may be upset or angry. If theemployee becomes upset ordistressed allow time for them toregain composure before continuing.If the distress is too great to continuethen adjourn and reconvene at alater date – however, the issuesshould not be avoided. Clearly duringthe meeting there may be some‘letting off steam’, and this can behelpful in finding out what has actuallyhappened. However, abusive languageor conduct should not be tolerated.


Where an employee raises agrievance during a disciplinaryprocess the disciplinary processmay be temporarily suspended inorder to deal with the grievance.Where the grievance anddisciplinary cases are related, itmay be appropriate to deal withboth issues concurrently.



Allowing the employee to be accompanied

What is the right to beaccompanied? Workers have a statutory right to beaccompanied where they are requiredor invited by their employer to attendcertain disciplinary or grievancemeetings. The chosen companionmay be a fellow worker, a trade union

representative, or an official employedby a trade union. A trade unionrepresentative who is not an employedofficial must have been certified bytheir union as being competent toaccompany a worker. Workers mustmake a reasonable request to theiremployer to be accompanied.

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Workers have a statutory right to be accompanied by a companion wherethe disciplinary meeting could result in:

• a formal warning being issued; or

• the taking of some other disciplinary action; or

• the confirmation of a warning or some other disciplinary action (appealhearings).

The chosen companion may be a fellow worker, a trade unionrepresentative, or an official employed by a trade union. A trade unionrepresentative who is not an employed official must have been certified bytheir union as being competent to accompany a worker.

To exercise the statutory right to be accompanied workers must make areasonable request. What is reasonable will depend on the circumstancesof each individual case. However, it would not normally be reasonable forworkers to insist on being accompanied by a companion whose presencewould prejudice the hearing nor would it be reasonable for a worker to askto be accompanied by a companion from a remote geographical locationif someone suitable and willing was available on site.

The companion should be allowed to address the hearing to put and sumup the workers case, respond on behalf of the worker to any viewsexpressed at the meeting and confer with the worker during the hearing.The companion does not, however, have the right to answer questions onthe worker’s behalf, address the hearing if the worker does not wish it orprevent the employer from explaining their case.



When does the right apply? Employees have the right to beaccompanied at meetings that couldresult in:

• a formal warning being issued to aworker (ie a warning that will beplaced on the worker’s record);

• the taking of some otherdisciplinary action (such assuspension without pay, demotionor dismissal) or other action; or

• the confirmation of a warning orsome other disciplinary action(such as an appeal hearing).

Informal discussions, counsellingsessions or investigatory meetingsdo not attract the right to beaccompanied. Meetings toinvestigate an issue are notdisciplinary meetings. If it becomesapparent that formal disciplinaryaction may be needed then thisshould be dealt with at a formalmeeting at which the employee willhave the statutory right to beaccompanied.

What is a reasonable request? Whether a request for a companionis reasonable will depend on thecircumstances of the individual caseand, ultimately, it is a matter for thecourts and tribunals to decide.However, when workers arechoosing a companion, they should

bear in mind that it would not bereasonable to insist on beingaccompanied by a colleague whosepresence would prejudice thehearing or who might have a conflictof interest. Nor would it bereasonable for a worker to ask to beaccompanied by a colleague from ageographically remote location whensomeone suitably qualified wasavailable on site. The request to beaccompanied does not have to be inwriting.

The companion The companion may be:

• a fellow worker (ie another of theemployer’s workers)

• an official employed by a tradeunion

• a workplace trade unionrepresentative, as long as theyhave been reasonably certified inwriting by their union as havingexperience of, or having receivedtraining in, acting as a worker’scompanion at disciplinary orgrievance hearings. Certificationmay take the form of a card orletter.

Some workers may, however, haveadditional contractual rights to beaccompanied by persons other thanthose listed above (for instance apartner, spouse or legalrepresentative).



Reasonable adjustment may beneeded for a worker with a disability(and possibly for their companion ifthey are disabled). For example theprovision of a support worker oradvocate with knowledge of thedisability and its effects.

Workers may ask an official from anytrade union to accompany them at adisciplinary or grievance hearing,regardless of whether or not they area member or the union isrecognised.

Fellow workers or trade union officialsdo not have to accept a request toaccompany a worker, and theyshould not be pressurised to do so.

Trade unions should ensure that theirofficials are trained in the role ofacting as a worker’s companion.Even when a trade union official hasexperience of acting in the role, theremay still be a need for periodicrefresher training. Employers shouldconsider allowing time off for thistraining.

A worker who has agreed toaccompany a colleague employed bythe same employer is entitled to takea reasonable amount of paid time offto fulfil that responsibility. This shouldcover the hearing and it is also goodpractice to allow time for thecompanion to familiarise themselveswith the case and confer with theworker before and after the hearing.

A lay trade union official is permittedto take a reasonable amount of paidtime off to accompany a worker at ahearing, as long as the worker isemployed by the same employer. Incases where a lay official agrees toaccompany a worker employed byanother organisation, time off is amatter for agreement by the partiesconcerned.

Applying the right The employer should allow acompanion to have a say about thedate and time of a hearing. If thecompanion cannot attend on aproposed date, the worker cansuggest an alternative time and dateso long as it is reasonable and it isnot more than five working days afterthe original date.

Before the hearing takes place, theworker should tell the employer whothey have chosen as a companion.In certain circumstances (for instancewhen the companion is an official ofa non-recognised trade union) it canbe helpful for the companion andemployer to make contact before thehearing.

The companion should be allowed toaddress the hearing in order to:

• put the worker’s case

• sum up the worker’s case

• respond on the worker’s behalf toany view expressed at the hearing.

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The companion can also confer withthe worker during the hearing. It isgood practice to allow thecompanion to participate as fully aspossible in the hearing, includingasking witnesses questions. Theemployer is, however, not legallyrequired to permit the companion toanswer questions on the worker’sbehalf, or to address the hearing ifthe worker does not wish it, or toprevent the employer from explainingtheir case.

Workers whose employers fail tocomply with a reasonable request to

be accompanied may present acomplaint to an employment tribunal.Workers may also complain to atribunal if employers fail to re-arrangea hearing to a reasonable dateproposed by the worker when acompanion cannot attend on thedate originally proposed. The tribunalmay order compensation of up totwo weeks’ pay.

It is unlawful to disadvantageworkers for using their right to beaccompanied or for beingcompanions. This could lead to aclaim to an employment tribunal.

Taking action after the disciplinary meeting


After the meeting decide whether or not disciplinary or any other action isjustified and inform the employee accordingly in writing.

Where misconduct is confirmed or the employee is found to be performingunsatisfactorily it is usual to give the employee a written warning. A furtheract of misconduct or failure to improve performance within a set periodwould normally result in a final written warning.

If an employee’s first misconduct or unsatisfactory performance issufficiently serious, it may be appropriate to move directly to a final writtenwarning. This might occur where the employee’s actions have had, or areliable to have, a serious or harmful impact on the organisation.

A first or final written warning should set out the nature of the misconductor poor performance and the change in behaviour or improvement inperformance required (with timescale). The employee should be told howlong the warning will remain current. The employee should be informed ofthe consequences of further misconduct, or failure to improveperformance, within the set period following a final warning. For instancethat it may result in dismissal or some other contractual penalty such asdemotion or loss of seniority.



A decision to dismiss should only be taken by a manager who has theauthority to do so. The employee should be informed as soon as possibleof the reasons for the dismissal, the date on which the employmentcontract will end, the appropriate period of notice and their right of appeal.

Some acts, termed gross misconduct, are so serious in themselves orhave such serious consequences that they may call for dismissal withoutnotice for a first offence. But a fair disciplinary process, should always befollowed, before dismissing for gross misconduct.

Disciplinary rules should give examples of acts which the employer regardsas acts of gross misconduct. These may vary according to the nature ofthe organisation and what it does, but might include things such as theftor fraud, physical violence, gross negligence or serious insubordination.

Where an employee is persistently unable or unwilling to attend adisciplinary meeting without good cause the employer should make adecision on the evidence available.

What should be consideredbefore deciding any disciplinarypenalty? When deciding whether a disciplinarypenalty is appropriate and what formit should take, consideration shouldbe given to:

• whether the rules of theorganisation indicate what thelikely penalty will be as a result ofthe particular misconduct

• the penalty imposed in similarcases in the past

• whether standards of otheremployees are acceptable, andthat this employee is not beingunfairly singled out

• the employee’s disciplinary record(including current warnings),general work record, workexperience, position and length ofservice

• any special circumstances whichmight make it appropriate to adjustthe severity of the penalty

• whether the proposed penalty isreasonable in view of all thecircumstances

• whether any training, additionalsupport or adjustments to thework are necessary.

It should be clear what the normalorganisational practice is for dealingwith the kind of misconduct or

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unsatisfactory performance underconsideration. This does not meanthat similar offences will always callfor the same disciplinary action: eachcase must be looked at on its ownmerits and any relevantcircumstances taken into account.Such relevant circumstances mayinclude health or domestic problems,provocation, justifiable ignorance ofthe rule or standard involved orinconsistent treatment in the past.

If guidance is needed on formaldisciplinary action, seek advice,where possible, from someone whowill not be involved in hearing anypotential appeal. Call the Acashelpline on 08457 47 47 47 to talk toone of our advisers.

Imposing the disciplinary penalty First formal action – unsatisfactoryperformanceIn cases of unsatisfactory performancean employee should be given an‘improvement note’, setting out:

• the performance problem

• the improvement that is required

• the timescale for achieving thisimprovement

• a review date and

• any support, including any training,that the employer will provide toassist the employee.

The employee should be informedthat the note represents the firststage of a formal procedure and isequivalent to a first written warningand that failure to improve could leadto a final written warning and,ultimately, dismissal. A copy of thenote should be kept and used as thebasis for monitoring and reviewingperformance over a specified period(eg, six months).

If an employee’s unsatisfactoryperformance – or its continuance – issufficiently serious, for examplebecause it is having, or is likely tohave, a serious harmful effect on theorganisation, it may be justifiable tomove directly to a final written warning.

Discipline in practice 2A member of staff in accountsmakes a number of mistakes oninvoices to customers. You bring themistakes to his attention, make surehe has had the right training andimpress on him the need foraccuracy but the mistakes continue.You invite the employee to adisciplinary meeting and inform him ofhis right to be accompanied by acolleague or employee representative.At the meeting the employee doesnot give a satisfactory explanationfor the mistakes so you decide toissue an improvement note settingout: the problem, the improvementrequired, the timescale forimprovement, the support availableand a review date. You inform theemployee that a failure to improvemay lead to a final written warning.



First formal action – misconduct In cases of misconduct, employeesshould be given a written warningsetting out the nature of themisconduct and the change inbehaviour required.

The warning should also inform theemployee that a final written warningmay be considered if there is furthermisconduct. A record of the warningshould be kept, but it should bedisregarded for disciplinary purposesafter a specified period (eg, sixmonths).

Discipline in practice 3An employee in a small firm makes a series of mistakes in letters to one ofyour key customers promising impossible delivery dates. The customer isupset at your firm’s failure to meet delivery dates and threatens to take hisbusiness elsewhere.

You are the owner of the business and carry out an investigation and invitethe employee to a disciplinary meeting. You inform her of her right to beaccompanied by a colleague or employee representative.

Example outcome of meetingAt the meeting the employee does not give a satisfactory explanation forthe mistakes and admits that her training covered the importance ofagreeing realistic delivery dates with her manager. During yourinvestigation, her team leader and section manager told you they hadstressed to the employee the importance of agreeing delivery dates withthem before informing the customer. In view of the seriousness of themistakes and the possible impact on the business, you issue theemployee with a final written warning. You inform the employee that failureto improve will lead to dismissal and of her right to appeal.

Example outcome of meeting in different circumstancesAt the meeting, the employee reveals that her team leader would not lether attend training as the section was too busy. Subsequently the teamleader was absent sick and the employee asked the section manager forhelp with setting delivery dates. The manager said he was too busy andtold the employee to ‘use her initiative’. Your other investigations supportthe employee’s explanation. You inform the employee that you will not betaking disciplinary action and will make arrangements for her to beproperly trained. You decide to carry out a review of general managementstandards on supervision and training.

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Final written warning If the employee has a current warningabout conduct or performance thenfurther misconduct or unsatisfactoryperformance (whichever is relevant)may warrant a final written warning.This may also be the case where ‘firstoffence’ misconduct is sufficiently

serious, but would not justifydismissal. Such a warning shouldnormally remain current for a specifiedperiod, for example, 12 months, andcontain a statement that furthermisconduct or unsatisfactoryperformance may lead to dismissal.

Discipline in practice 4A member of your telephone sales team has been to lunch to celebratesuccess in an exam. He returns from lunch in a very merry mood, isslurring his speech and is evidently not fit to carry out his duties. Youdecide to send him home and invite him in writing to a disciplinary meetingsetting out his alleged behaviour of gross misconduct for which he couldbe dismissed. Your letter includes information about his right to beaccompanied by a colleague or employee representative.

At the meeting he admits he had too much to drink, is very apologetic andpromises that such a thing will not happen again. He is one of your mostvalued members of staff and has an exemplary record over his 10 yearsservice with you. You know that being unfit for work because of excessivealcohol is listed in your company rules as gross misconduct. In view of thecircumstances and the employee’s record, however, you decide not todismiss him but give him a final written warning. You inform the employeeof his right to appeal.

Dismissal or other sanction If the employee has received a finalwritten warning further misconduct orunsatisfactory performance maywarrant dismissal. Alternatively thecontract may allow for a differentdisciplinary penalty instead. Such apenalty may include disciplinarytransfer, disciplinary suspensionwithout pay 7, demotion, loss ofseniority or loss of increment. Thesesanctions may only be applied if

allowed for in the employee’s contractor with the employee’s agreement.

Any penalty should be confirmed inwriting, and the procedure and timelimits for appeal set out clearly.

There may be occasions when,depending on the seriousness of themisconduct involved, it will beappropriate to consider dismissalwithout notice (see over).



Dismissal with notice Employees should only be dismissedif, despite warnings, conduct orperformance does not improve to therequired level within the specified timeperiod. Dismissal must be reasonablein all the circumstances of the case.

Unless the employee is beingdismissed for reasons of grossmisconduct, he or she should receivethe appropriate period of notice orpayment in lieu of notice.

Dismissal without notice Employers should give all employees aclear indication of the type ofmisconduct which, in the light of therequirements of the employer’sbusiness, will warrant dismissalwithout the normal period of notice orpay in lieu of notice. So far as possiblethe types of offences which fall intothis category of ‘gross misconduct’should be clearly specified in the rules,although such a list cannot normallybe exhaustive.

What is gross misconduct? Gross misconduct is generally seen asmisconduct serious enough tooverturn the contract between theemployer and the employee thusjustifying summary dismissal. Actswhich constitute gross misconductmust be very serious and are bestdetermined by organisations in the

light of their own particularcircumstances. However, examples ofgross misconduct might include:

• theft or fraud

• physical violence or bullying

• deliberate and serious damage toproperty

• serious misuse of an organisation’sproperty or name

• deliberately accessing internetsites containing pornographic,offensive or obscene material

• serious insubordination

• unlawful discrimination orharassment

• bringing the organisation intoserious disrepute

• serious incapability at workbrought on by alcohol or illegaldrugs

• causing loss, damage or injurythrough serious negligence

• a serious breach of health andsafety rules

• a serious breach of confidence.

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If an employer considers an employeeguilty of gross misconduct and thusliable for summary dismissal, it is stillimportant to follow a fair procedure asfor any other disciplinary offence. Thiswill include establishing the facts of thecase before taking any action, holdinga meeting with the employee andallowing the employee the right ofappeal. It should be made clear to theemployee that dismissal is a possibility.A short period of suspension with fullpay to help establish the facts or toallow tempers to cool may be helpful.However, such a period of suspensionshould only be imposed after carefulconsideration and should be keptunder review. It should be made clearto the employee that the suspension isnot a disciplinary action and does notinvolve any prejudgement.

How should the employee beinformed of the disciplinarydecision? Details of any disciplinary actionshould be given in writing to theemployee as soon as the decision ismade. See example letters atAppendix 3. A copy of the notificationshould be retained by the employer.The written notification should specify:

• the nature of the misconduct

• any period of time given forimprovement and the improvementexpected

• the disciplinary penalty and, whereappropriate, how long it will last

• the likely consequences of furthermisconduct

• the timescale for lodging an appealand how it should be made.

The organisation may wish to requirethe employee to acknowledge receiptof the written notification.

Written reasons for dismissal Employees with one year's service ormore have the right to request a‘written statement of reasons fordismissal’. Employers are required bylaw to comply within 14 days of therequest being made, unless it is notreasonably practicable. It is goodpractice to give written reasons for alldismissals.

A woman who is dismissed duringpregnancy or maternity or adoptionleave is automatically entitled to thewritten statement without having torequest it and irrespective of length ofservice8.

The written statement can be used inevidence in any subsequentproceedings, for example, in relationto a complaint of unfair dismissal.



Time limits for warnings Except in agreed specialcircumstances, any disciplinary actiontaken should be disregarded fordisciplinary purposes after a specifiedperiod of satisfactory conduct orperformance. This period should beestablished clearly when thedisciplinary procedure is being drawnup. A decision to dismiss should notbe based on an expired warning butthe fact that there is an expiredwarning may explain why theemployer does not substitute a lessersanction.

Normal practice is for different types ofwarnings to remain in force fordifferent periods. For example, a firstwritten warning might be valid for upto six months while a final writtenwarning may remain in force for 12months (or more in exceptionalcircumstances). Warnings shouldcease to be ‘live’ following thespecified period of satisfactoryconduct.

There may be occasions where anemployee’s conduct is satisfactorythroughout the period the warning is inforce, only to lapse very soonthereafter. Where a pattern emergesand/or there is evidence of abuse, theemployee’s disciplinary record shouldbe borne in mind in deciding how longany warning should last.

Provide employees with anopportunity to appeal

The opportunity to appeal against adisciplinary decision is essential tonatural justice, and appeals may beraised by employees on any numberof grounds, for instance newevidence, undue severity orinconsistency of the penalty. Theappeal may either be a review of thedisciplinary sanction or a re-hearingdepending on the grounds of theappeal.

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Where an employee feels thatdisciplinary action taken againstthem is wrong or unjust theyshould appeal against thedecision. Appeals should be heardwithout unreasonable delay andideally at an agreed time andplace. Employees should letemployers know the grounds fortheir appeal in writing.

The appeal should be dealt withimpartially and wherever possible,by a manager who has notpreviously been involved in thecase.

Workers have a statutory right tobe accompanied at appealhearings.

Employees should be informed inwriting of the results of the appealhearing as soon as possible.



An appeal must never be used as anopportunity to punish the employee forappealing the original decision, and itshould not result in any increase inpenalty as this may deter individualsfrom appealing.

What should an appealsprocedure contain? It should:

• specify a time-limit within which theappeal should be lodged (fiveworking days is commonly feltappropriate although this may beextended in particularcircumstances)

• provide for appeals to be dealt withspeedily, particularly those involvingsuspension or dismissal

• wherever possible provide for theappeal to be heard by someonesenior in authority to the personwho took the disciplinary decisionand, if possible, someone who wasnot involved in the original meetingor decision

• spell out what action may be takenby those hearing the appeal

• set out the right to be accompaniedat any appeal meeting

• provide that the employee, or acompanion if the employee sowishes, has an opportunity tocomment on any new evidencearising during the appeal before anydecision is taken.

Small organisations In small organisations, even if there isno more senior manager available,another manager should, if possible,hear the appeal. If this is not possibleconsider whether the owner or, in thecase of a charity, the board oftrustees, should hear the appeal.Whoever hears the appeal shouldconsider it as impartially as possible.

How should an appeal hearing beconducted? Before the appeal ensure that theindividual knows when and where it isto be held, and of their statutory rightto be accompanied (see p23). Holdthe meeting in a place which will befree from interruptions. Make sure therelevant records and notes of theoriginal meeting are available for allconcerned. See sample letters atAppendix 3.

At the meeting You should:

• introduce those present to eachother, explaining their presence ifnecessary



• explain the purpose of the meeting,how it will be conducted, and thepowers the person/people hearingthe appeal have

• ask the employee why he or she isappealing

• pay particular attention to any newevidence that has been introduced,and ensure the employee has theopportunity to comment on it

• once the relevant issues have beenthoroughly explored, summarise thefacts and call an adjournment toconsider the decision

• change a previous decision if itbecomes apparent that it was notsoundly based – such action doesnot undermine authority but rathermakes clear the independent natureof the appeal. If the decision isoverturned consider whethertraining for managers needs to beimproved, if rules need clarification,or are if there other implications tobe considered?

• inform the employee of the resultsof the appeal and the reasons forthe decision and confirm it inwriting. Make it clear, if this is thecase, that this decision is final. Seesample letters at Appendix 3.

Trade union officials Although normal disciplinary standardsapply to their conduct as employees,disciplinary action against a tradeunion representative can be construedas an attack on the union if nothandled carefully (see also p19).

Criminal charges or convictions An employee should not be dismissedor otherwise disciplined solelybecause he or she has been chargedwith or convicted of a criminal offence.The question to be asked in such

Dealing with special cases

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Where disciplinary action is beingconsidered against an employeewho is a trade unionrepresentative the normaldisciplinary procedure should befollowed. Depending on thecircumstances, however, it isadvisable to discuss the matter atan early stage with an officialemployed by the union, afterobtaining the employee’sagreement.

If an employee is charged with, orconvicted of a criminal offence thisis not normally in itself reason fordisciplinary action. Considerationneeds to be given to what effectthe charge or conviction has onthe employee’s suitability to do thejob and their relationship with theiremployer, work colleagues andcustomers.


cases is whether the employee’sconduct or conviction merits actionbecause of its employmentimplications.

Where it is thought the conductwarrants disciplinary action thefollowing guidance should be borne inmind:

• the employer should investigate thefacts as far as possible, come to aview about them and considerwhether the conduct is sufficientlyserious to warrant instituting thedisciplinary procedure

• where the conduct requires promptattention the employer need notawait the outcome of theprosecution before taking fair andreasonable action

• where the police are called in theyshould not be asked to conduct anyinvestigation on behalf of theemployer, nor should they bepresent at any meeting ordisciplinary meeting.

In some cases the nature of thealleged offence may not justifydisciplinary action – for example,off-duty conduct which has no bearingon employment – but the employeemay not be available for work becausehe or she is in custody or on remand.In these cases employers shoulddecide whether, in the light of theneeds of the organisation, the

employee’s job can be held open.Where a criminal conviction leads, forexample, to the loss of a licence sothat continued employment in aparticular job would be illegal,employers should consider whetheralternative work is appropriate andavailable.

Where an employee, charged with orconvicted of a criminal offence,refuses or is unable to cooperate withthe employer’s disciplinaryinvestigations and proceedings, thisshould not deter an employer fromtaking action. The employee should beadvised in writing that unless furtherinformation is provided, a disciplinarydecision will be taken on the basis ofthe information available and couldresult in dismissal.

Where there is little likelihood of anemployee returning to employment, itmay be argued that the contract ofemployment has been terminatedthrough ‘frustration’9. However, thedoctrine is normally accepted by thecourts only where the frustrating eventrenders all performance of theemployment contract clearlyimpossible. It is normally better for theemployer to take disciplinary action.

An employee who has been chargedwith, or convicted of, a criminaloffence may become unacceptable tocolleagues, resulting in workforcepressure to dismiss and threats ofindustrial action. Employers should




bear in mind that they may have tojustify the reasonableness of anydecision to dismiss and that anemployment tribunal will ignore threatsof, and actual industrial action whendetermining the fairness of a decision(Section 107, Employment Rights Act1996). They should consider allrelevant factors, not just disruption toproduction, before reaching areasonable decision.

Use of external consultants In some instances employers maywish to bring in external consultants tocarry out an investigation. Employerswill still be responsible for anyinappropriate or discriminatorybehaviour if the investigation is carriedout by consultants. Makearrangements for the investigation tobe overseen by a representative ofmanagement. Make sure that theconsultants follow the organisation’sdisciplinary policies and proceduresand deal with the case fairly inaccordance with the Acas Code ofPractice.

Employees to whom the fullprocedure is not immediatelyavailable It may be sensible to arrange time offwith pay so that employees who are inisolated locations or on shifts canattend a disciplinary meeting on themain site in normal working hours.Alternatively, if a number of witnessesneed to attend it may be better tohold the disciplinary meeting on thenightshift or at the particular location.

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Grievances Keys to handlinggrievances in the

workplace

GRIEVANCES - KEYS TO HANDLING GRIEVANCES IN THE WORKPLACE 39



Resolve grievances informally In organisations where managershave an open policy forcommunication and consultationproblems and concerns are oftenraised and settled as a matter ofcourse.

Employees should aim to settle mostgrievances informally with their linemanager. Many problems can beraised and settled during the courseof everyday working relationships.This also allows for problems to besettled quickly.

In some cases outside help such asan independent mediator can helpresolve problems especially thoseinvolving working relationships. Seep7 for more information.

Develop rules andprocedures

Grievances Keys to handling grievances in the workplace

What is a grievance and whyhave a procedure?


Grievances are concerns,problems or complaints thatemployees raise with theiremployers.


Fairness and transparency arepromoted by developing andusing rules and procedures forhandling disciplinary andgrievance situations. These shouldbe set down in writing, be specificand clear. Employees and, whereappropriate, their representativesshould be involved in thedevelopment of rules andprocedures. It is also important tohelp employees and managersunderstand what the rules andprocedures are, where they canbe found and how they are to beused.


KEYS TO HANDLING GRIEVANCES IN THE WORKPLACE 41

Anybody working in an organisationmay, at some time, have problems orconcerns about their work, workingconditions or relationships withcolleagues that they wish to talkabout with management. They wantthe grievance to be addressed, and ifpossible, resolved. It is also clearly inmanagement's interests to resolveproblems before they can developinto major difficulties for allconcerned.

Issues that may cause grievancesinclude:

• terms and conditions ofemployment

• health and safety

• work relations

• bullying and harassment

• new working practices

• working environment

• organisational change

• discrimination.

Grievances may occur at all levelsand the Acas Code of Practice, andthis guidance, applies equally tomanagement and employees.

A written procedure can help clarifythe process and help to ensure that

employees are aware of their rightssuch as to be accompanied atgrievance meetings (see p47 on theright to be accompanied). Someorganisations use, or may wish touse, external mediators to helpresolve grievances (see p7). Wherethis is the case the procedure shouldexplain how and when mediatorsmay be used.

Employees might raise issues aboutmatters not entirely within the controlof the organisation, such as client orcustomer relationships (for instancewhere an employee is working onanother employer's site). Theseshould be treated in the sameway as grievances within theorganisation, with theemployer/manager investigating asfar as possible and taking action ifrequired. The organisation shouldmake it very clear to any third partythat grievances are taken seriouslyand action will be taken to protecttheir employees.

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The provisions of this Code do notapply to grievances raised onbehalf of two or more employeesby a representative of arecognised trade union or otherappropriate workplacerepresentative. These grievancesshould be handled in accordancewith the organisation’s collectivegrievance process.



Occasionally a collective grievancemay arise where a number of peoplehave the same grievance at thesame time. If there is a grievancewhich applies to more than oneperson this should be resolved inaccordance with the organisation’scollective grievance process – whereone exists.

Training for dealing withgrievances Management and employeerepresentatives who may be involvedin grievance matters should betrained for the task. They should befamiliar with the provisions of thegrievance procedure, and know howto conduct or represent at grievancehearings. Consideration might begiven to training managers andemployee representatives jointly. Forinformation about suitable trainingsee the Acas website atwww.acas.org.uk.

Keeping written records

What records should be kept? The foreword to the Code of Practiceadvises employers to keep a writtenrecord of any disciplinary orgrievances cases they deal with.

Records should include:

• the nature of the grievance

• what was decided and actionstaken

• the reason for the actions

• whether an appeal was lodged

• the outcome of the appeal

• any subsequent developments.

Records should be treated asconfidential and be kept no longerthan necessary in accordance withthe Data Protection Act 1998. ThisAct gives individuals the right torequest and have access to certainpersonal data. The InformationCommissioner has produced Codesof Practice covering recruitment andselection, employment records,monitoring at work and informationabout an employee’s health10.

Copies of meeting records should begiven to the employee includingcopies of any formal minutes thatmay have been taken. In certaincircumstances (for example toprotect a witness) the employermight withhold some information.



Dealing with formal grievances

The following pages give detailedguidance on handling formalgrievances. Always bear in mind theneed for fairness when following

procedures, taking account of theelements from the Acas Code ofPractice reproduced above.

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Where some form of formal action is needed, what action is reasonable orjustified will depend on all the circumstances of the particular case.Employment tribunals will take the size and resources of an employer intoaccount when deciding on relevant cases and it may sometimes not bepracticable for all employers to take all of the steps set out in this Code.

That said, whenever a disciplinary or grievance process is being followed itis important to deal with issues fairly. There are a number of elements tothis:

• Employers and employees should raise and deal with issues promptlyand should not unreasonably delay meetings, decisions or confirmationof those decisions.

• Employers and employees should act consistently.

• Employers should carry out any necessary investigations, to establishthe facts of the case.

• Employers should inform employees of the basis of the problem andgive them an opportunity to put their case in response before anydecisions are made.

• Employers should allow employees to be accompanied at any formaldisciplinary or grievance meeting.

• Employers should allow an employee to appeal against any formaldecision made.


In small firms run by anowner/manager there will be noalternative manager to raise agrievance with. It is in the interests ofsuch employers to make it clear thatthey will treat all grievances fairly andobjectively even if the grievance isabout something they have said ordone.

Holding a grievance meeting

What is a grievance meeting? In general terms a grievance meetingdeals with any grievance raised byan employee. For the purposes ofthe legal right to be accompanied, agrievance meeting is defined as ameeting where an employer dealswith a complaint about a ‘duty owedby them to a worker’ (see p47).


Let the employer know thenature of the grievance

Where a grievance is serious or anemployee has attempted to raise aproblem informally without success,the employee should raise it formallywith management in writing.

Where employees have difficultyexpressing themselves because oflanguage or other difficulties theymay like to seek help from tradeunion or other employeerepresentatives or from colleagues.

When stating their grievance,employees should stick to the factsand avoid language which may beconsidered insulting or abusive.

Where the grievance is against theline manager the employee mayapproach another manager or raisethe issue with their HR department ifthere is one. It is helpful if thegrievance procedure sets out whothe individual should approach inthese circumstances.


Employers should arrange for aformal meeting to be held withoutunreasonable delay after agrievance is received.

Employers, employees and theircompanions should make everyeffort to attend the meeting.Employees should be allowed toexplain their grievance and howthey think it should be resolved.Consideration should be given toadjourning the meeting for anyinvestigation that may benecessary.


If it is not possible to resolve agrievance informally employeesshould raise the matter formallyand without unreasonable delaywith a manager who is not thesubject of the grievance. Thisshould be done in writing andshould set out the nature of thegrievance.



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• make introductions as necessary

• invite the employee to re-statetheir grievance and how theywould like to see it resolved

• put care and thought into resolvinggrievances. They are not normallyissues calling for snap decisions,and the employee may have beenholding the grievance for a longtime. Make allowances for anyreasonable ‘letting off steam’ if theemployee is under stress

• consider adjourning the meeting ifit is necessary to investigate anynew facts which arise

• sum up the main points

• tell the employee when they mightreasonably expect a response ifone cannot be made at the time,bearing in mind the time limits setout in the organisation’sprocedure.

Be calm, fair and follow theprocedure In smaller organisations, grievancescan sometimes be taken as personalcriticism – employers should becareful to hear any grievance in acalm and objective manner, being asfair to the employee as possible inthe resolution of the problem.Following the grievance procedurecan make this easier.

Preparing for the meeting Managers should:

• arrange a meeting, ideally withinfive working days, in private wherethere will not be interruptions

• consider arranging for someonewho is not involved in the case totake a note of the meeting and toact as a witness to what was said

• whether similar grievances havebeen raised before, how they havebeen resolved, and any follow-upaction that has been necessary.This allows consistency oftreatment

• consider arranging for aninterpreter where the employeehas difficulty speaking English

• consider whether any reasonableadjustments are necessary for aperson who is disabled and/ortheir companion

• consider whether to offerindependent mediation – see p7.

Conduct of the meeting Managers should:

• remember that a grievance hearingis not the same as a disciplinaryhearing, and is an occasion whendiscussion and dialogue may leadto an amicable solution



Grievances about fellowemployees These can be made easier byfollowing the grievance procedure.An employee may be the cause ofgrievances among his or her co-employees – perhaps on grounds ofpersonal hygiene, attitude, orcapability for the job. Employersmust deal with these cases carefullyand should generally start by talkingprivately to the individual about theconcerns of fellow employees. Thismay resolve the grievance.Alternatively, if those involved arewilling, an independent mediator maybe able to help (see p7). Care needsto be taken that any discussion withsomeone being complained aboutdoes not turn into a meeting atwhich they would be entitled to beaccompanied (see p47).

Grievances in practice 1You are the owner of a small firm.An employee has beencomplaining that she is beinggiven too much work and can’tcomplete it in time. You have toldthe employee that herpredecessor had no problemcompleting the same amount ofwork and that things will get easierwith experience. The employee isnot happy and puts her grievanceto you in writing.

You invite the employee to ameeting to discuss the grievanceand inform her of her right to beaccompanied. At the meeting youdiscover that the employee isworking on a different computerfrom her predecessor. Thecomputer is slower and uses anold version of the softwarerequired to carry out the work.You agree to upgrade thesoftware, provide training and toreview progress in a month. Youconfirm what was agreed inwriting and inform the employee ofher right to an appeal meeting ifshe feels her grievance has notbeen satisfactorily resolved.



When do workers have the rightto be accompanied? For the purposes of this right, agrievance hearing is a meeting atwhich an employer deals with acomplaint about a duty owed bythem to a worker, whether the dutyarises from statute or common law(for example contractualcommitments).

3

Allow the employee to be accompanied at the grievancemeeting

For instance, an individual’s requestfor a pay rise is unlikely to fall withinthe definition, unless a right to anincrease is specifically provided for inthe contract or the request raises anissue about equal pay. Equally, mostemployers will be under no legal dutyto provide their workers with carparking facilities, and a grievanceabout such facilities would carry no


Workers have a statutory right to be accompanied by a companion at agrievance meeting which deals with a complaint about a duty owed by theemployer to the worker. So this would apply where the complaint is, forexample, that the employer is not honouring the worker’s contract, or is inbreach of legislation.

The chosen companion may be a fellow worker a trade unionrepresentative or an official employed by a trade union. A trade unionrepresentative who is not an employed official must have been certified bytheir union as being competent to accompany a worker.

To exercise the right to be accompanied a worker must first make areasonable request. What is reasonable will depend on the circumstancesof each individual case. However it would not normally be reasonable forworkers to insist on being accompanied by a companion whose presencewould prejudice the hearing nor would it be reasonable for a worker to askto be accompanied by a companion from a remote geographical locationif someone suitable and willing was available on site.

The companion should be allowed to address the hearing to put and sumup the worker’s case, respond on behalf of the worker to any viewsexpressed at the meeting and confer with the worker during the hearing.The companion does not however have the right to answer questions onthe workers behalf, address the hearing if the worker does not wish it orprevent the employer from explaining their case.



right to be accompanied at a hearingby a companion. However, if aworker were disabled and needed acar to get to and from work, theyprobably would be entitled to acompanion at a grievance hearing,as an issue might arise as to whetherthe employer was meeting theirobligations under the DisabilityDiscrimination Act 1995.

It is generally good practice to allowworkers to be accompanied at aformal grievance meeting even whenthe statutory right does not apply.

What is a reasonable request? Whether a request for a companionis reasonable will depend on thecircumstances of the individual caseand, ultimately, it is a matter for thecourts and tribunals to decide.However, when workers arechoosing a companion, they shouldbear in mind that it would not bereasonable to insist on beingaccompanied by a colleague whosepresence would prejudice thehearing or who might have a conflictof interest. Nor would it usually bereasonable for a worker to ask to beaccompanied by a colleague from ageographically remote location whensomeone suitably qualified wasavailable on site. The request to beaccompanied does not have to be inwriting.

The companion The companion may be:

• a fellow worker (ie another of theemployer’s workers)

• an official employed by a tradeunion

• a workplace trade unionrepresentative, as long as theyhave been reasonably certified inwriting by their union as havingexperience of, or having receivedtraining in, acting as a worker’scompanion at disciplinary orgrievance hearings. Certificationmay take the form of a card orletter.

Some workers may, however, haveadditional contractual rights to beaccompanied by persons other thanthose listed above (for instance apartner, spouse or legalrepresentative).

Reasonable adjustment may beneeded for a worker with a disability(and possibly for their companion ifthey are disabled). For example theprovision of a support worker oradvocate with knowledge of thedisability and its effects.

Workers may ask an official from anytrade union to accompany them at adisciplinary or grievance hearing,regardless of whether or not they area member or the union is recognised.



Fellow workers or trade union officialsdo not have to accept a request toaccompany a worker, and theyshould not be pressurised to do so.

Trade unions should ensure that theirofficials are trained in the role of actingas a worker’s companion. Even whena trade union official has experienceof acting in the role, there may stillbe a need for periodic refreshertraining. Employers should considerallowing time off for this training.

A worker who has agreed toaccompany a colleague employed bythe same employer is entitled to takea reasonable amount of paid time offto fulfil that responsibility. This shouldcover the hearing and it is also goodpractice to allow time for thecompanion to familiarise themselveswith the case and confer with theworker before and after the hearing.A lay trade union official is permittedto take a reasonable amount of paidtime off to accompany a worker at ahearing, as long as the worker isemployed by the same employer. Incases where a lay official agrees toaccompany a worker employed byanother organisation, time off is amatter for agreement by the partiesconcerned.

Applying the right Where possible, the employer shouldallow a companion to have a say inthe date and time of a hearing. If thecompanion cannot attend on a

proposed date, the worker cansuggest an alternative time and dateso long as it is reasonable and it isnot more than five working days afterthe original date.

Before the hearing takes place, theworker should tell the employer whothey have chosen as a companion.In certain circumstances (for instancewhen the companion is an official ofa non-recognised trade union) it canbe helpful for the companion andemployer to make contact before thehearing.

The companion should be allowed toaddress the meeting in order to:

• put the worker’s case

• sum up the worker’s case

• respond on the worker’s behalf toany view expressed at the hearing

• confer with the worker during themeeting.

The companion can also confer withthe worker during the hearing. It isgood practice to allow thecompanion to participate as fully aspossible in the hearing, includingasking witnesses questions. Theemployer is, however, not legallyrequired to permit the companion toanswer questions on the worker’sbehalf, or to address the hearing ifthe worker does not wish it, or to

3



prevent the employer from explainingtheir case.

Workers whose employers fail tocomply with a reasonable request tobe accompanied may present acomplaint to an employment tribunal.Workers may also complain to atribunal if employers fail to re-arrangea hearing to a reasonable dateproposed by the worker when acompanion cannot attend on thedate originally proposed. The tribunalmay order compensation of up totwo weeks’ pay.

Employers should be careful not todisadvantage workers for using theirright to be accompanied or for beingcompanions, as this is against thelaw and could lead to a claim to anemployment tribunal.

Decide on appropriate action

It is generally good practice toadjourn a meeting before a decisionis taken about how to deal with anemployee’s grievance. This allowstime for reflection and properconsideration. It also allows for anyfurther checking of any mattersraised.

Set out clearly in writing any actionthat is to be taken and theemployee’s right of appeal. Where anemployee’s grievance is not upheldmake sure the reasons are carefullyexplained.

Bear in mind that actions taken toresolve a grievance may have animpact on other individuals, who mayalso feel aggrieved.

If the grievance highlights any issuesconcerning policies, procedures orconduct (even if not sufficientlyserious to merit separate disciplinaryprocedures) they should beaddressed as soon as possible.

Ensure any action taken is monitoredand reviewed, as appropriate, so thatit deals effectively with the issues.


Following the meeting decide onwhat action, if any, to take.Decisions should becommunicated to the employee, inwriting, without unreasonabledelay and, where appropriate,should set out what action theemployer intends to take toresolve the grievance. Theemployee should be informed thatthey can appeal if they are notcontent with the action taken.



Allow the employee to takethe grievance further if notresolved

Arranging an appeal If an employee informs the employerthat they are unhappy with thedecision after a grievance meeting,the employer should arrange an

3

appeal. As far as reasonablypracticable the appeal should bewith a more senior manager than theone who dealt with the originalgrievance.

In small organisations, even if there isno more senior manager available,another manager should, if possible,hear the appeal. If this is not possibleconsider whether the owner or, in thecase of a charity, the board oftrustees, should hear the appeal.Whoever hears the appeal shouldconsider it as impartially as possible.

At the same time as inviting theemployee to attend the appeal, theemployer should remind them of theirright to be accompanied at theappeal meeting.

As with the first meeting, theemployer should write to theemployee with a decision on theirgrievance as soon as possible. Theyshould also tell the employee if theappeal meeting is the final stage ofthe grievance procedure.

Large organisations may wish toallow a further appeal to a higherlevel of management, such as adirector. However, in smaller firmsthe first appeal will usually mark theend of the grievance procedure.Sample grievance procedure (smallorganisation) is at Appendix 2.


Where an employee feels that theirgrievance has not beensatisfactorily resolved they shouldappeal. They should let theiremployer know the grounds fortheir appeal without unreasonabledelay and in writing.

Appeals should be heard withoutunreasonable delay and at a timeand place which should benotified to the employee inadvance.

The appeal should be dealt withimpartially and wherever possibleby a manager who has notpreviously been involved in thecase.

Workers have a statutory right tobe accompanied at any suchappeal hearing.

The outcome of the appeal shouldbe communicated to theemployee in writing withoutunreasonable delay.



Dealing with special cases The foreword to the Code of Practicepoints out that organisations maywish to consider dealing with issuesinvolving bullying, harassment11 orwhistleblowing under a separateprocedure. For further advice abouthow to deal with bullying andharassment see the Acas adviceleaflet Bullying and harassment atwork: a guide for managers andemployers available to order ordownload from the Acas websitewww.acas.org.uk.

Clearly confidentiality is of primeimportance when handling any suchgrievance, although the outcomemay need to be made known if, forinstance, someone is found to havebullied or harassed an individual andthe result is disciplinary action.Mediation may be particularly usefulin these types of cases see p7.


The Appendices

THE APPENDICES 53



Checklist As a minimum, rules should:

• be simple, clear and in writing

• be displayed prominently in theworkplace

• be known and understood by allemployees

• cover issues such as absences,timekeeping, health and safety anduse of organisational facilities andequipment (add any other itemsrelevant to your organisation)

Appendix 1 Disciplinary rules for small organisations

• indicate examples of the type ofconduct which will normally lead todisciplinary action other thandismissal – for instance lateness orunauthorised absence

• indicate examples of the type ofconduct which will normally lead todismissal without notice –examples may include workingdangerously, stealing or fighting –although much will depend on thecircumstances of each offence.


APPENDIX 2 55

4

5

Sample disciplinaryprocedure (any organisation)

1. Purpose and scopeThis procedure is designed to helpand encourage all employees toachieve and maintain standards ofconduct, attendance and jobperformance. The company rules (acopy of which is displayed in theoffice) and this procedure apply to allemployees. The aim is to ensureconsistent and fair treatment for all inthe organisation.

2. PrinciplesInformal action will be considered,where appropriate, to resolveproblems.

No disciplinary action will be takenagainst an employee until the casehas been fully investigated.

For formal action the employee willbe advised of the nature of thecomplaint against him or her and willbe given the opportunity to state hisor her case before any decision ismade at a disciplinary meeting.

Employees will be provided, whereappropriate, with written copies ofevidence and relevant witness

Appendix 2 Sample disciplinary and grievance procedures

statements in advance of adisciplinary meeting.

At all stages of the procedure theemployee will have the right to beaccompanied by a trade unionrepresentative, or work colleague.

No employee will be dismissed for afirst breach of discipline except in thecase of gross misconduct, when thepenalty will be dismissal withoutnotice or payment in lieu of notice.

An employee will have the right toappeal against any disciplinaryaction.

The procedure may be implementedat any stage if the employee'salleged misconduct warrants this.

3. The ProcedureFirst stage of formal procedureThis will normally be either:

• an improvement note forunsatisfactory performance ifperformance does not meetacceptable standards. This will setout the performance problem, theimprovement that is required, thetimescale, any help that may be



given and the right of appeal. Theindividual will be advised that itconstitutes the first stage of theformal procedure. A record of theimprovement note will be kept for... months, but will then beconsidered spent – subject toachieving and sustainingsatisfactory performance

or

• a first warning for misconduct ifconduct does not meetacceptable standards. This will bein writing and set out the nature ofthe misconduct and the change inbehaviour required and the right ofappeal. The warning will alsoinform the employee that a finalwritten warning may beconsidered if there is no sustainedsatisfactory improvement orchange. A record of the warningwill be kept, but it will bedisregarded for disciplinarypurposes after a specified period(eg, six months).

Final written warningIf the offence is sufficiently serious, orif there is further misconduct or afailure to improve performanceduring the currency of a priorwarning, a final written warning maybe given to the employee. This willgive details of the complaint, theimprovement required and thetimescale. It will also warn that failureto improve may lead to dismissal (or

some other action short of dismissal)and will refer to the right of appeal. Acopy of this written warning will bekept by the supervisor but will bedisregarded for disciplinary purposesafter ... months subject to achievingand sustaining satisfactory conductor performance.

Dismissal or other sanctionIf there is still further misconduct orfailure to improve performance thefinal step in the procedure may bedismissal or some other action shortof dismissal such as demotion ordisciplinary suspension or transfer(as allowed in the contract ofemployment). Dismissal decisionscan only be taken by the appropriatesenior manager, and the employeewill be provided in writing withreasons for dismissal, the date onwhich the employment will terminate,and the right of appeal.

If some sanction short of dismissal isimposed, the employee will receivedetails of the complaint, will bewarned that dismissal could result ifthere is no satisfactory improvement,and will be advised of the right ofappeal. A copy of the writtenwarning will be kept by thesupervisor but will be disregarded fordisciplinary purposes after ... monthssubject to achievement andsustainment of satisfactory conductor performance.


APPENDIX 2 57

Gross misconductThe following list provides someexamples of offences which arenormally regarded as grossmisconduct:

• theft or fraud

• physical violence or bullying

• deliberate and serious damage toproperty

• serious misuse of an organisation’sproperty or name

• deliberately accessing internetsites containing pornographic,offensive or obscene material

• serious insubordination

• unlawful discrimination orharassment

• bringing the organisation intoserious disrepute

• serious incapability at workbrought on by alcohol or illegaldrugs

• causing loss, damage or injurythrough serious negligence

• a serious breach of health andsafety rules

• a serious breach of confidence.

If you are accused of an act of grossmisconduct, you may be suspendedfrom work on full pay, normally for nomore than five working days, whilethe alleged offence is investigated. If,on completion of the investigationand the full disciplinary procedure,the organisation is satisfied thatgross misconduct has occurred, theresult will normally be summarydismissal without notice or paymentin lieu of notice.

AppealsAn employee who wishes to appealagainst a disciplinary decision mustdo so within five working days. Thesenior manager will hear all appealsand his/her decision is final. At theappeal any disciplinary penaltyimposed will be reviewed.

Sample disciplinaryprocedure (smallorganisation)

1. Purpose and scopeThe organisation's aim is toencourage improvement in individualconduct or performance. Thisprocedure sets out the action whichwill be taken when disciplinary rulesare breached.

2. Principlesa) The procedure is designed to

establish the facts quickly and todeal consistently with disciplinaryissues. No disciplinary action willbe taken until the matter has beenfully investigated.

5



b) At every stage employees will beinformed in writing of what isalleged and have the opportunityto state their case at a disciplinarymeeting and be represented oraccompanied, if they wish, by atrade union representative or awork colleague.

c) An employee has the right toappeal against any disciplinarypenalty.

3. The ProcedureStage 1 – first warningIf conduct or performance isunsatisfactory, the employee will begiven a written warning orperformance note. Such warningswill be recorded, but disregardedafter ... months of satisfactoryservice. The employee will also beinformed that a final written warningmay be considered if there is nosustained satisfactory improvementor change. (Where the first offence issufficiently serious, for examplebecause it is having, or is likely tohave, a serious harmful effect on theorganisation, it may be justifiable tomove directly to a final writtenwarning.)

Stage 2 – final written warningIf the offence is serious, or there isno improvement in standards, or if afurther offence of a similar kindoccurs, a final written warning will begiven which will include the reasonfor the warning and a note that if no

improvement results within ... months,action at Stage 3 will be taken.

Stage 3 – dismissal or actionshort of dismissalIf the conduct or performance hasfailed to improve, the employee maysuffer demotion, disciplinary transfer,loss of seniority (as allowed in thecontract) or dismissal.

Gross misconductIf, after investigation, it is confirmedthat an employee has committed anoffence of the following nature (thelist is not exhaustive), the normalconsequence will be dismissal withoutnotice or payment in lieu of notice:

– theft, damage to property, fraud,incapacity for work due to beingunder the influence of alcohol orillegal drugs, physical violence,bullying and gross insubordination.

While the alleged gross misconductis being investigated, the employeemay be suspended, during whichtime he or she will be paid theirnormal pay rate. Any decision todismiss will be taken by theemployer only after full investigation.

AppealsAn employee who wishes to appealagainst any disciplinary decisionmust do so to the named person inthe organisation within five workingdays. The employer will hear theappeal and decide the case asimpartially as possible.


APPENDIX 2 59

Sample grievance procedure(small organisation)

Dealing with grievancesinformallyIf you have a grievance or complaintto do with your work or the peopleyou work with you should, whereverpossible, start by talking it over withyour manager. You may be able toagree a solution informally betweenyou.

Formal grievanceIf the matter is serious and/or youwish to raise the matter formally youshould set out the grievance inwriting to your manager. You shouldstick to the facts and avoid languagethat is insulting or abusive.

Where your grievance is against yourmanager and you feel unable toapproach him or her you should talkto another manager or the owner.

Grievance hearingYour manager will call you to ameeting, normally within five days, todiscuss your grievance. You have theright to be accompanied by acolleague or trade unionrepresentative at this meeting if youmake a reasonable request.

After the meeting the manager willgive you a decision in writing,normally within 24 hours.

AppealIf you are unhappy with yourmanager’s decision and you wish toappeal you should let your managerknow.

You will be invited to an appealmeeting, normally within five days,and your appeal will be heard by amore senior manager (or thecompany owner). You have the rightto be accompanied by a colleague ortrade union representative at thismeeting if you make a reasonablerequest.

After the meeting the manager (orowner) will give you a decision,normally within 24 hours. Themanager’s (or owner’s) decision isfinal.

5



Contents1. Notice of disciplinary meeting

2. Notice of written warning or final written warning

3. Notice of appeal meeting against warning

4. Notice of result of appeal against warning

5. Letter to be sent by the employer to arrange a meeting where dismissal oraction short of dismissal is being considered

6. Letter to be sent by the employer after the disciplinary meeting arranged inLetter 5

7. Notice of appeal meeting against dismissal

8. Notice of result of appeal against dismissal

9. Letter of enquiry regarding likely cause of absence addressed to aworker's general practitioner

Appendix 3 Sample letters


APPENDIX 3 61

(1) Notice of disciplinary meeting

Date ..........................

Dear ..................................................

I am writing to tell you that you are required to attend a disciplinary meetingon .................... at .................... am/pm which is to be held in ....................At this meeting the question of disciplinary action against you, in accordancewith the Company Disciplinary Procedure, will be considered with regard to:

I enclose the following documents*:

The possible consequences arising from this meeting might be:

You are entitled, if you wish, to be accompanied by another work colleagueor a trade union representative.

Yours sincerely

Signed Manager ..................................................

Note:* Delete if not applicable

6



(2) Notice of written warning or final written warning

Date ..........................

Dear ..................................................

You attended a disciplinary hearing on .................... I am writing to informyou of your written warning/final written warning*.

This warning will be placed in your personal file but will be disregarded fordisciplinary purposes after a period of .................... months, provided yourconduct improves/performance reaches a satisfactory level**.

a) The nature of the unsatisfactory conduct or performance was:

b) The conduct or performance improvement expected is:

c) The timescale within which the improvement is required is:

d) The likely consequence of further misconduct or insufficient improvement is:

Final written warning/dismissal

You have the right to appeal against this decision (in writing**) to .................... within .................... days of receiving this disciplinarydecision.

Yours sincerely

Signed Manager ..................................................

Note:* The wording should be amended as appropriate** Delete as appropriate


APPENDIX 3 63

6

(3) Notice of appeal meeting against warning

Date ..........................

Dear ..................................................

You have appealed against the written warning/ final written warning*confirmed to you in writing on ....................

Your appeal will be heard by .................... in .................... on ....................at ....................

You are entitled to be accompanied by a work colleague or trade unionrepresentative.

The decision of this appeal hearing is final and there is no further right ofreview.

Yours sincerely

Signed Manager ..................................................

Note:* The wording should be amended as appropriate



(4) Notice of result of appeal against warning

Date ..........................

Dear ..................................................

You appealed against the decision of the disciplinary hearing that you begiven a .................... warning/in accordance with the Company DisciplinaryProcedure. The appeal hearing was held on ....................

I am now writing to inform you of the decision taken by the Manager whoconducted the appeal hearing, namely that the decision to ....................stands*/the decision to .................... be revoked* [specify if no disciplinaryaction is being taken or what the new disciplinary action is].

You have now exercised your right of appeal under the Company DisciplinaryProcedure and this decision is final.

Yours sincerely

Signed Manager ..................................................

Note:* The wording should be amended as appropriate


APPENDIX 3 65

6

(5) Letter to be sent by the employer to arrange a meetingwhere dismissal or action short of dismissal* is beingconsidered

Date ..........................

Dear ..................................................

I am writing to tell you that .................... [insert organisation name] isconsidering dismissing OR taking disciplinary action [insert proposed action]against you.

This action is being considered with regard to the following circumstances:

You are invited to attend a disciplinary meeting on .................... at .................... am/pm which is to be held in .................... where this will bediscussed.

You are entitled, if you wish, to be accompanied by another work colleagueor your trade union representative.

Yours sincerely

Signed Manager ..................................................

Note:* Action other than a warning such as transfer or demotion (see p30)



(6) Letter to be sent by the employer after the disciplinarymeeting arranged in Letter 5

Date ..........................

Dear ..................................................

On .................... you were informed that .................... [insert organisationname] was considering dismissing OR taking disciplinary action [insertproposed action] against you.

This was discussed in a meeting on .................... At this meeting, it wasdecided that: [delete as applicable]

Your conduct/performance/etc was still unsatisfactory and that you bedismissed.

Your conduct/performance/etc was still unsatisfactory and that the followingdisciplinary action would be taken against you ....................

No further action would be taken against you.

I am therefore writing to you to confirm the decision that you be dismissedand that your last day of service with the Company will be ....................

The reasons for your dismissal are:I am therefore writing to you to confirm the decision that disciplinary actionwill be taken against you. The action will be .................... The reasons forthis disciplinary action are:

You have the right of appeal against this decision. Please [write] to .................... within .................... days of receiving this disciplinarydecision

Yours sincerely

Signed Manager ..................................................


APPENDIX 3 67

6

(7) Notice of appeal meeting against dismissal/disciplinaryaction*

Date ..........................

Dear ..................................................

You have appealed against your dismissal/disciplinary action [delete asappropriate] on .................... confirmed to you in writing on ....................Your appeal will be heard by .................... in .................... on ....................at ....................

You are entitled, if you wish, to be accompanied by another work colleagueor a trade union representative.

The decision of this appeal meeting is final and there is no further right ofreview.

Yours sincerely

Signed Manager ..................................................




(8) Notice of result of appeal against dismissal/disciplinaryaction*

Date ..........................

Dear ..................................................

You appealed against the decision of the disciplinary hearing that you bedismissed/subject to disciplinary action [delete as appropriate].

The appeal meeting was held on ....................

I am now writing to inform you of the decision taken by ....................

[insert name of the manager] who conducted the appeal meeting, namelythat the decision to .................... stands/ the decision to .................... berevoked [specify if no disciplinary action is being taken or what the newdisciplinary action is].

You have now exercised your right of appeal under the Company DisciplinaryProcedure and this decision is final.

Yours sincerely

Signed Manager ..................................................



APPENDIX 3 69

6

(9) Letter of enquiry regarding likely cause of absenceaddressed to a worker's general practitioner

Date ..........................

Doctor's name ..................................................

Address ..........................................................................................................

........................................................................................................................

PLEASE ACKNOWLEDGE RECEIPT OF THIS LETTER IF THERE IS LIKELYTO BE ANY DELAY IN REPLYING

Re ..........................

Name ..................................................

Address ..........................................................................................................

........................................................................................................................

To administer Statutory Sick Pay, and the Company's sick pay scheme, andto plan the work in the department, it would be helpful to have a report onyour patient, who works for our organisation.

His/her work as a .................... has the following major features:

Management responsibility for Seated/standing/mobileLight/medium/heavy effort requiredDay/shift/night workClerical/secretarial dutiesGroup I (private)/Group II (professional) driverOther

The absence record for the past year is summarised as:

Total days lost This month Previous months



Attached is your patient's permission to enquire. He/she wishes/does notwish to have access to the report under the Access to Medical Reports Act1988:

What is the likely date of return to work?

Will there be any disability at that time?

How long is it likely to last?

Are there any reasonable adjustments we could make to accommodate thedisability?

Is there any underlying medical reason for this attendance record?

Is he/she likely to be able to render regular and efficient service in the future?

Is there any specific recommendation you wish to make about him/her whichwould help in finding him/her an alternative job, if that is necessary, and ifthere is an opportunity for redeployment (for instance no climbing ladders, nodriving).

I would be grateful for an early reply and enclose a stamped addressedenvelope. Please attach your account to the report (following the BMAguidance on fees).

Yours sincerely

Signed Name (BLOCK LETTERS) ..................................................

Role in the company ..................................................

Note:Please amend/delete where necessary


APPENDIX 4 71

6

7

Appendix 4 Dealing with absence

This appendix considers how tohandle problems of absence andgives guidance about unauthorisedshort-term and long-term absences,and the failure to return fromextended leave. More extensiveadvice on attendance managementis available in the Acas advisorybooklet Managing attendance andemployee turnover available topurchase or download on the Acaswebsite www.acas.org.uk. Adistinction should be made betweenabsence on grounds of illness orinjury and absence for no goodreason which may call for disciplinaryaction. Where disciplinary action iscalled for, the normal disciplinaryprocedure should be used. Wherethe employee is absent because ofillness or injury, the guidance in thissection of the booklet should befollowed. The organisation should beaware of the requirements of theDisability Discrimination Act 1995when making any decisions thataffect someone who may bedisabled as defined by the Act12.

Records showing lateness and theduration of and reasons for all spellsof absence should be kept to helpmonitor absence levels. Theseenable management to check levels

of absence or lateness so thatproblems can be spotted andaddressed at an early stage (theInformation Commissioner13 hasproduced a Code of Practice onemployment records).

How should frequent andpersistent short-term absence behandled?• unexpected absences should be

investigated promptly and theemployee asked for an explanationat a return-to-work interview

• if there are no acceptable reasonsthen the employer may wish totreat the matter as a conduct issueand deal with it under thedisciplinary procedure

• where there is no medicalcertificate to support frequentshort-term, self-certified, absencesthen the employee should beasked to see a doctor to establishwhether treatment is necessaryand whether the underlying reasonfor the absence is work-related. Ifno medical support is forthcomingthe employer should considerwhether to take action under thedisciplinary procedure



• if the absence could be disabilityrelated the employer shouldconsider what reasonableadjustments could be made in theworkplace to help the employee(this might be something as simpleas an adequate, ergonomic chair,or a power-assisted piece ofequipment14. Reasonableadjustment also meansredeployment to a different type ofwork if necessary

• if the absence is because oftemporary problems relating todependants, the employee may beentitled to have time off under theprovisions of the EmploymentRights Act 1996 relating to time offfor dependants

• if the absence is because theemployee has difficulty managingboth work and homeresponsibilities then the employershould give serious considerationto more flexible ways of working.Employees who are parents ofchildren aged 16 and under(disabled children under 18) andcarers of adults have the right torequest flexible workingarrangements – includingjob-sharing, part-time working,flexi-time, working fromhome/teleworking and school timecontracts – and employers musthave a good business reason forrejecting any application

• in all cases the employee shouldbe told what improvement inattendance is expected andwarned of the likely consequencesif this does not happen

• if there is no improvement, theemployee's length of service,performance, the likelihood of achange in attendance, theavailability of suitable alternativework where appropriate, and theeffect of past and future absenceson the organisation should all betaken into account in decidingappropriate action.

In order to show both the employeeconcerned, and other employees,that absence is regarded as aserious matter and may result indismissal, it is very important thatpersistent absence is dealt withpromptly, firmly and consistently.

An examination of records willidentify those employees who arefrequently absent and may show anabsence pattern.

How should longer-term absencethrough ill health be handled?Where absence is due to medicallycertificated illness, the issuebecomes one of capability ratherthan conduct. Employers need totake a more sympathetic andconsiderate approach, particularly ifthe employee is disabled and wherereasonable adjustments at the


APPENDIX 4 73

workplace might enable them toreturn to work.

There are certain steps an employershould take when considering theproblem of long-term absence:

• employee and employer shouldkeep in regular contact with eachother

• the employee must be kept fullyinformed if there is any risk toemployment

• if the employer wishes to contactthe employee's doctor, he or shemust notify the employee in writingthat they intend to make such anapplication and they must securethe employee's consent in writing15.The employer must inform theindividual that he or she has:

– the right to withhold consent to the application being made

– the right to state that he or she wishes to have access to the report. (The Access to Medical Reports Act 1988 also gives the individual the right to have access to the medical practitioner's report for up to six months after it was supplied)

– rights concerning access to thereport before (and/or after) it is supplied

– the right to withhold consent to the report being supplied to theemployer

– the right to request amendments to the report

• where the employee states that heor she wishes to have access tothe report, the employer must letthe GP know this when makingthe application and at the sametime let the employee know thatthe report has been requested

• the letter of enquiry reproduced inAppendix 3 – Sample letters, andapproved by the British MedicalAssociation, may be used, and theemployee's permission to theenquiry should be attached to theletter16

• the employee must contact the GPwithin 21 days of the date ofapplication to make arrangementto see the report. Otherwise therights under the 1988 Act will belost

• if the employee considers thereport to be incorrect ormisleading, the employee maymake a written request to the GPto make appropriate amendments

• if the GP refuses, the employeehas the right to ask the GP toattach a statement to the reportreflecting the employee's view onany matters of disagreement

7



• the employee may withholdconsent to the report beingsupplied to the employer

• on the basis of the GP's report theemployer should consider whetheralternative work is available

• the employer is not expected tocreate a special job for theemployee concerned, nor to be amedical expert, but to take actionon the basis of the medicalevidence

• where there is a reasonable doubtabout the nature of the illness orinjury, the employee should beasked if he or she would agree tobe examined by a doctor to beappointed by the organisation

• where an employee refuses tocooperate in providing medicalevidence, or to undergo anindependent medical examination,the employee should be told inwriting that a decision will be takenon the basis of the informationavailable and that it could result indismissal

• where the employee is allergic to aproduct used in the workplace theemployer should consider remedialaction or a transfer to alternativework

• where the employee's job can nolonger be held open, and nosuitable alternative work isavailable, the employee should beinformed of the likelihood ofdismissal

• where dismissal action is taken theemployee should be given theperiod of notice to which he or sheis entitled by statute or contractand informed of any right ofappeal.

Where an employee has been onlong-term sick absence and there islittle likelihood of he or she becomingfit enough to return, it may beargued that the contract ofemployment has been terminatedthrough 'frustration'. However, thedoctrine of frustration should not berelied on since the courts aregenerally reluctant to apply it where aprocedure exists for termination ofthe contract. It is therefore better forthe employer to take dismissal actionafter following proper procedures.

Specific health problemsConsideration should be given tointroducing measures to helpemployees, regardless of status orseniority, who are suffering fromalcohol or drug abuse, or fromstress. The aim should be to identifyemployees affected and encouragethem to seek help and treatment.See the Acas advisory bookletHealth, work and wellbeing available


APPENDIX 4 75

to purchase or download on theAcas website www.acas.org.ukEmployers should consider whetherit is appropriate to treat the problemas a medical rather than adisciplinary matter.

There is sometimes workforcepressure to dismiss an employeebecause of a medical condition, oreven threats of industrial action. Ifsuch an employee is dismissed, thenhe or she may be able to claim unfairdismissal before an employmenttribunal, or breach of contract. Also,the Disability Discrimination Act 1995makes it unlawful for an employer ofany size to treat a disabled personless favourably for a reason relatingto their disability, without a justifiablereason. Employers are required tomake a reasonable adjustment toworking conditions or the workplacewhere that would help toaccommodate a particular disabledperson17.

Failure to return from extendedleave on the agreed dateEmployers may have policies whichallow employees extended leave ofabsence without pay, for example tovisit relatives in their countries oforigin, or relatives who haveemigrated to other countries, or tonurse a sick relative. There is nogeneral statutory right to such leavewithout pay, except to deal with aninitial emergency relating to a

dependant under the EmploymentRights Act 1996.

Where a policy of extended leave isin operation, the following pointsshould be borne in mind:

• the policy should apply to allemployees, irrespective of theirage, sex, marital or civilpartnership status, racial group,disability, sexual orientation orreligion or belief

• any conditions attaching to thegranting of extended leave shouldbe carefully explained to theemployee, using interpreters ifnecessary, and the employee'ssignature should be obtained asan acknowledgement that he orshe understands and acceptsthem. Employers should be awarethat agreed extended leave canpreserve continuity of employment,even when such leave is unpaidand other terms and conditions ofemployment are suspended for theduration of the leave

• if an employee fails to return onthe agreed date, this should beapproached in the same way asany other failure to abide by therules and the circumstancesshould be investigated in thenormal way, with disciplinaryprocedures being followed ifappropriate

7



• care should be taken to ensurethat foreign medical certificates arenot treated in a discriminatory way:employees can fall ill while abroadjust as they can fall ill in thiscountry

• before deciding to dismiss anemployee who overstays leave, theemployee's experience, length ofservice, reliability record and anyexplanation given should all betaken into account

• failure to return from ordinarymaternity leave does not of itselfterminate the contract ofemployment. Employers should tryand find out the reason for thefailure and take action if necessaryas in any other case of failing toreturn from leave (whetherextended/additionalmaternity/holiday/parental/time offfor dependants).

An agreement that an employeeshould return to work on a particulardate will not prevent a complaint ofunfair dismissal to an employmenttribunal if the employee is dismissedfor failing to return as agreed. In allsuch cases, all the factors mentionedabove and the need to actreasonably should be borne in mindbefore any dismissal action is taken.


APPENDIX 5 77

7

8

Appendix 5 Basic principles ofthe Data Protection Act 1998 andDisability Discrimination Act 1995Data Protection Act 1998The Data Protection Act givesindividuals the right to know whatinformation is held about them. Itprovides a framework to ensure thatpersonal information is handledproperly.

The Act works in two ways. Firstly, itstates that anyone who processespersonal information must complywith eight principles, which makesure that personal information is:

• fairly and lawfully processed

• processed for limited purposes

• adequate, relevant and notexcessive

• accurate and up to date

• not kept for longer than isnecessary

• processed in line with your rights

• secure

• not transferred to other countrieswithout adequate protection.

The second area covered by the Actprovides individuals with importantrights, including the right to find outwhat personal information is held oncomputer and most paper records.

Should an individual or organisationfeel they're being denied access topersonal information they're entitledto, or feel their information has notbeen handled according to the eightprinciples, they can contact theInformation Commissioner's Officefor help. Complaints are usually dealtwith informally, but if this isn't possible,enforcement action can be taken.

Full details are available from theInformation Commissioner's Office,Wycliffe House, Water Lane,Wilmslow, Cheshire SK9 5AF,Information line 01625 545700. Thewebsite, www.ico.gov.uk providescomprehensive advice includingdetails of the Code of Practice onthe Use of Personal Data inEmployer/Employee Relationshipsand other Codes of Practice onrecruitment and selection,employment records, monitoring atwork and medical information.



Disability Discrimination Act 1995(DDA)The DDA gives disabled peoplerights in employment. A disabledperson is defined in the Act as‘anyone with a physical or mentalimpairment which has a substantialand long-term adverse effect uponhis ability to carry out normalday-to-day activities’.

However, disability does notnecessarily affect someone's health,so insisting on a medical reportpurely on the basis of the disabilitymay be unlawful discrimination.

Discrimination means treatingsomeone less favourably without anyjustification, and the Act requires thatemployers make reasonableadjustments if that will then removethe reason for the unfavourabletreatment. An example of areasonable adjustment could be theprovision of a suitable computerkeyboard to an operator who haddifficulty through disability in using aconventional keyboard.

In relation to discipline and grievanceprocedures, employers must clearlyensure they do not discriminate inany area of practice which could leadto dismissal or any other detriment(for example warnings).

The Act also covers people whobecome disabled during the courseof their employment, and this isparticularly relevant to the absencehandling section of this handbook. Itis vital that the employer shoulddiscuss with the worker what theirneeds really are and what effect, ifany, the disability may have on futurework with the organisation. Anydismissal, including compulsory earlyretirement, of a disabled employeefor a reason relating to the disabilitywould have to be justified, and thereason for it would have to be onewhich could not be removed ormade less than substantial by anyreasonable adjustment.

The Equality and Human RightsCommission provides informationand advice about all aspects of theDisability Discrimination Act, as wellas signposting specialistorganisations where necessary. Inaddition, it can offer good practiceadvice on the employment ofdisabled people.Tel: England 0845 604 6610,Scotland 0845 604 5510 and forWales 0845 604 8810.


GLOSSARY 79

capability: an employee's ability orqualification to do their job. Mostoften referred to in discipline caseswhere there is a lack of capability

conduct: an employee’s behaviourin the workplace

disciplinary action: formal actionagainst an employee: for exampleissuing a first written warning formisconduct or dismissing someonefor gross misconduct

disciplinary procedure: is aprocedure for organisations to followto deal with cases of misconduct orunsatisfactory performance. It helpsemployers deal with discipline casesfairly and consistently

employees: are people who workfor an employer under a contract ofemployment. The term is usedthroughout Sections 1 & 2 of thehandbook and the Code of Practice

grievance: is a problem or concernthat an employee has about theirwork, working conditions orrelationships with colleagues

grievance procedure: is aprocedure for organisations to use toconsider employees’ grievances. Ithelps employers deal with grievancesfairly and consistently

gross misconduct: are acts whichare so serious as to justify possibledismissal see example list on p31

improvement note: in cases ofunsatisfactory performance anemployee should be given animprovement note setting out theperformance problem, theimprovement that is required, thetimescale for achieving thisimprovement, a review date and anysupport the employer will provide toassist the employee

natural justice: refers to the basicfundamental principles of fairtreatment. These principles includethe duty to give someone a fairhearing; the duty to ensure that thematter is decided by someone whois impartial; and the duty to allow anappeal against a decision

reasonable adjustments: a way ofpreventing discrimination againstdisabled employees by makingchanges to ensure that they are notat a disadvantage. For example, aspecialist keyboard would count as areasonable adjustment for a disabledemployee unable to use aconventional keyboard

sanction: is a punishment imposedon an employee as a result of

8

9

Glossary



unsatisfactory performance ormisconduct. Sanctions may includedismissal or actions short ofdismissal such as loss of pay ordemotion

summary dismissal: is dismissalwithout notice – usually onlyjustifiable for gross misconduct.Summary is not necessarily the sameas instant and incidents of grossmisconduct should be investigatedas part of a formal procedure

workers: is a term that includesemployees and also other groupssuch as agency workers or anyonecarrying out work who is notgenuinely self-employed. Workersmight include those involved inseasonal work – such as farmlabourers or shop assistants.


NOTES 81

1. For detailed advice on absencesee the Acas Advisory BookletManaging attendance andemployee turnover.

2. Further advice and Codes ofPractice may be obtained fromthe Equality and Human RightsCommission atwww.equalityhumanrights.comAcas’ Equality Direct Helpline canalso give help and advice toemployers Tel 08456 00 33 44.

3. The Employment Equality (Age)Regulations 2006 came into forceon 1 October 2006. See theAcas Guidance on Age and theworkplace: a guide foremployers: Putting theEmployment Equality (Age)Regulations 2006 into practice.

4. Guidance on what the writtenstatement must include isprovided on the Department forBusiness, Enterprise andRegulatory Reform (BERR)website at www.berr.gov.uk.

5. The recommendations for goodpractice can be obtained fromthe Information Commissioner’sOffice, Wycliffe House, WaterLane, Wilmslow, Cheshire SK95AF Tel 01625 545700www.ico.gov.uk.

6. Guidance given by theEmployment Appeal Tribunal inLinfood Cash and Carry vThomson [1989] IRLR 235, setsout the approach that should betaken with anonymousinformants. In particularstatements should be in writing,available to the accusedemployee and give details oftime/place/dates as appropriate.The employer should enquire asto the character of the informantand assess the credibility andweight to be attached to theevidence.

7. Special consideration should begiven before imposing disciplinarysuspension without pay. It mustbe allowed for in the worker’scontract of employment, and nosuspension should exceed themaximum period set out in thecontract. It must not beunreasonably prolonged, since itwould then be open to theworker to take action for breachof contract or resign and claimconstructive dismissal.

9

10

Notes



8. Section 92 of the EmploymentRights Act 1996 refers. Moredetails of employees’ Rights tonotice and reasons for dismissalis provided on the Departmentfor Business, Enterprise andRegulatory Reform (BERR)website at www.berr.gov.uk.

9. In law, frustration occurs when,without the fault of either party,some event, which was notreasonably foreseeable at thetime of the contract, rendersfuture performance eitherimpossible or something radicallydifferent from what wascontemplated originally. Legaladvice should be sought if it isthought frustration of theemployment contract hasoccurred.

10. The recommendations for goodpractice can be obtained fromthe Information Commissioner’sOffice, Wycliffe House, WaterLane, Wilmslow, Cheshire SK95AF Tel 01625 545700www.ico.gov.uk.

11. See advice leaflet – Bullying andharassment at work: a guide formanagers and employers.

12. For further information see theEquality and Human RightsCommission website atwww.equalityhumanrights.com.

13. See the InformationCommissioner’s website atwww.ico.gov.uk.

14. For further information see theEquality and Human RightsCommission website atwww.equalityhumanrights.com.

15. Access to Medical Reports Act1988

16. The GP should return the reportvia the company doctor. If thereis not one the employer shouldmake it clear to the employee,when seeking permission toapproach the GP, that the reportwill be sent direct to theemployer. Employers who wish toseek advice on securing theservices of a company doctorshould contact the Faculty ofOccupational Medicine at 6 StAndrews Place, Regents Park,London NW1 4LBTel 020 7317 5890www.facoccmed.ac.uk.

17. For further information see theEquality and human rightscommission website atwww.equalityhumanrights.com.


NOTES 83

10


Information in this handbook has been revised up to the date of the last reprint – see date below. For more upto date information please check the Acas website at www.acas.org.uk.

Legal information is provided for guidance only and should not be regarded as an authoratitive statement of the law, which can only be made by reference to the particular circumstances which apply. It may, therefore, be wise to seek legal advice.

Acas aims to improve organisations and working life through better employment relations. We provide up-to-date information, independent advice, high quality training and we work with employers and employees to solve problems and improve performance.

We are an independent publicly-funded organisation and many of our services are free. November 2009

Helpline 08457 47 47 47

08456 06 16 00helpline for Minicom users

08702 42 90 90Acas publications orderline to view a full list of Acas publications,go to www.acas.org.uk/publications

08457 38 37 36for the Acas Customer Services Team who can provide details of services and training in your area or visit www.acas.org.uk/training

08456 00 34 44for questions on managingequality in the workplace

• National London

• East Midlands Nottingham

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• London

• North East Newcastle upon Tyne

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• South West Bristol

• West Midlands Birmingham

• Yorkshire and Humber Leeds

• Scotland Glasgow

• Wales Cardiff

Acas’ main offices:

www.acas.org.uk

Ref: H

02

acas code disciplinary

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