A disciplined approach

Managers faced with holding a disciplinary interview generally fall into two groups. Those who think this is their opportunity to "sort out" a particular individual, and those who face the meeting with as much dread as the employee. In this article I aim to give you a few hints to make the interview go as well as possible.

Start by familiarising yourself with the official disciplinary process. Every organisation should have its own procedure detailing the standards employers expect of their staff and the action to be taken if those standards have not been met. If your organisation does not have a disciplinary procedure, you would be well advised to contact either the Advisory Conciliation and Arbitration Service or an independent specialist before taking any action.

Behaviour that warrants disciplinary action usually falls into one of two categories: matters of conduct, such as poor timekeeping or theft; and matters of capability, such as the inability to lay a row of bricks in a straight line. A breach of disciplinary rules such as these should not automatically warrant disciplinary action. In many instances all that is needed is an informal warning that timekeeping, for example, is not up to scratch and that the employee needs to do something about it.

Informal warning
When you give an informal warning, make a note of the meeting so that you can refer to it later if necessary. But if this does not deal with the problem, you will need to move on to the first stage of your formal disciplinary procedure, which is probably a formal verbal warning.

The last couple of years have seen some important changes in the law relating to disciplinary hearings. All employees now have the right, regardless of their length of service, to be accompanied by either a colleague or a trade union official. The colleague must be paid for time used and given a sufficient period to prepare for the hearing. The right to be accompanied by a trade union official applies regardless of whether your company recognises that union, or indeed any union at all. If you deny these rights, any action you take may be unenforceable, and you could even find yourself in an employment tribunal.

In many instances all that is needed is an informal warning that timekeeping, for example, is not up to scratch and that the employee needs to do something about it

Your next step is to gather relevant evidence. In some instances this may simply be a case of collecting attendance records. In other situations you may need photographs of work or reports from a customer. If you are taking action because of a complaint from a customer, it is wise to meet and talk to that customer personally rather than simply relying on a letter or phone call. It may be appropriate to have an investigative hearing with the employee to gather facts and information prior to making any decision.

At the hearing itself, make sure that you have a private room available and an area where the employee and representative can meet alone. The format of the hearing should include the following steps:

• Specify the allegation that the employee is facing, such as arriving late for work eight times in the last three weeks
  
• Check whether the employee agrees with the facts of the case; if not, you may have to adjourn the hearing and check them out. If the employee disputes the facts, you will eventually have to make a judgment as to what you believe them to be
  
• Ask if the employee has anything to say in mitigation, such as explaining that bus service failed over the last few weeks.

Future behaviour
Having heard the facts and the employee's comments, you will need to decide what action to take, such as issuing a formal verbal warning. This should be linked to the behaviour you expect in the future and the consequences if the problem recurs. For example, you might say that you will be monitoring the employee's arrival time, and that if you note more than one instance of tardiness in the next four weeks without an acceptable reason you will move on to the next stage of the disciplinary procedure. The final stage of the hearing is to remind the employee of his or her right of appeal against your decision.

After the hearing, put the details in writing to the employee so that there is no dispute over what was said and what is expected in the future. Make and keep notes of the meeting in case you need them at an appeal or an employment tribunal.