Disciplinary Handling

When an employee’s behaviour or performance falls below acceptable standards or when there is a breach of company policies, misconduct, or attendance problems a disciplinary procedure is essential to address these matters.

The purpose of disciplinary action is to correct behaviour, provide support where needed, and, when necessary, impose sanctions or dismiss employees. The process ensures fairness and legal compliance while protecting both the employer and employee.

Introduction to a Disciplinary Procedure

A disciplinary procedure is a structured process that outlines how employers should address employee misconduct or performance issues. The formal procedure includes an investigation, formal meetings, and determining any outcomes or sanctions. Good practice in disciplinary handling involves ensuring the process is fair, transparent, and compliant with the ACAS Code of Practice.

The policy must cover how disciplinary actions are triggered, how investigations are conducted, and what rights employees have during the process. Keeping these policies up to date ensures that issues are handled consistently and legally.

How We Help

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Understanding the Issue

Albany HR can provide expert guidance to help employers assess the issue at hand, determining whether disciplinary action is necessary and advising on the correct procedures to follow. We ensure employers understand the severity of the issue and how to proceed appropriately.
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Conducting Investigations and Reports

We can help employers by conducting thorough and unbiased investigations to gather evidence and establish facts surrounding the issue. This includes reviewing all relevant information and documentation, interviewing relevant employees, and preparing a detailed investigation report that outlines evidence and findings.
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Meeting

Scheduling and Arranging Interviews

We can provide support in scheduling and arranging interviews with the employee involved, witnesses, or any other relevant parties. This ensures the disciplinary process moves forward efficiently and professionally.
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Interviewing Witnesses and Compiling Questions

Albany HR can also conduct impartial witness interviews where necessary, compiling relevant questions to gather all pertinent information related to the disciplinary issue. This ensures the investigation is comprehensive and all viewpoints are considered.
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Facilitating Disciplinary Hearings

We can support disciplinary hearings to ensure they are conducted fairly and objectively, and in compliance with legal standards. We can also provide note-taking services to document the entire process and ensure an accurate record of the proceedings for future reference.
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Providing Supporting Paperwork and Final Outcome

We can assist in preparing all supporting paperwork throughout the disciplinary process, including scripts for those holding the disciplinary hearings, invitations to meetings for witnesses and respondents with details of the disciplinary issue, investigation reports, meeting notes, and the final outcome letters. We also guide employers on the appropriate next steps, sometimes in line with their current policies, offering advice on whether this involves a warning, further training, or dismissal.
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Training Managers on Disciplinary Handling

Albany HR offers training for managers on how to handle disciplinaries effectively from start to finish, ensuring they follow best practices and legal guidelines. This helps managers feel confident in addressing performance or conduct issues in a fair and legally compliant manner.
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Our Services

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HR Packages

When you choose a HR package, our HR Consultants become your trusted partner delivering ongoing support. Our first step is to conduct an HR audit. We then work with you to create a future-thinking people plan. Your policies and procedures are fine-tuned, and we work collaboratively and proactively on your people plan throughout the year.

HR Project Support

Sometimes you reach a change point, or your existing HR structures are at their limits, and you would like targeted support where and when you need it. We help you deal with complex, and often time-consuming, people challenges, allowing you to focus on what your business needs to grow and what you need for peace of mind.

HR Document Support

Your policies, employment contracts, and employee handbook are essential to help your employees understand who you are and set the right expectations. Whether you’re a start-up, a growing business, or your documents need a refresh, we supply easy-to-understand documents that engage your employees, reflect your values and ensure you’re legally compliant.

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“I would have no hesitation in recommending Albany HR to any business which wanted to make sure they were fully equipped to manage their employees effectively.”
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FAQs

How should employers document employee misconduct for disciplinary purposes?

Employers should document employee misconduct thoroughly by recording dates, times, and details of incidents, alongside any witness statements and relevant evidence. Written records of all meetings, warnings, and follow-up actions should also be kept ensuring transparency and legal compliance during the disciplinary process.

What role does communication play in managing disciplinary actions?

Clear communication is essential in managing disciplinary actions to ensure that the employee understands the concerns, the process, and the potential consequences. Fair and open dialogue during disciplinary proceedings helps maintain trust and ensures the employee has an opportunity to respond and improve.

How can companies ensure that disciplinary actions comply with legal and ethical standards?

Companies must follow the ACAS Code of Practice and accompanying guidance, ensuring that disciplinary actions are consistent, fair, and proportionate to the offence. Providing employees with the right to appeal, offering representation, and ensuring all steps are transparent are crucial for legal and ethical compliance.

What are the potential consequences of mishandling disciplinary procedures in the workplace?

Mishandling disciplinary procedures can lead to unfair dismissal claims, legal disputes, and damage to the company’s reputation. Poorly managed processes can also lead to decreased employee morale, lower productivity, and an erosion of trust within the workforce.