Discipline (Checklist)

Investigation 

1. Is there a belief that the employee has not followed company rules?
2. Ensure the matter been investigated as thoroughly as possible within the bounds of reasonableness.
3. Obtain any witness statements as soon as possible before memories fade. Advise witnesses that their statement will be released to the employee unless it is anonymous.
4. Check as many facts and documents as possible.
   1. Decide if there needs to be an investigation meeting
   2. If so, is it possible to give notice and the right to be accompanied or does it need to be dealt with immediately
5. Invite the employee to an investigation meeting.
6. Conduct further investigation if the employee raises issues which need checking
7. If you are satisfied with the explanation the case should be dropped.
8. If you are not satisfied with the explanation go to a disciplinary meeting 
9. Advise the employee of the outcome and next steps 

For further advice on how to conduct an investigation and take witness statements click here.

Pre-Discipline Meeting 

Check your procedures, especially if they have a union representative accompanying them. 

1. Check, and have available, the facts from your investigation, including employee records and any witness statements. 
2. Consider what explanations may be put forward and investigate them first if possible.
3. Arrange for a note taker. It is crucial to have someone else take notes at a disciplinary meeting unless it is for something very simple like late attendance, but even then, you don’t know what might come up in mitigation. This is because it is essential to capture as much detail as possible.
4. Ensure there will be a private room for the meeting. Make sure it is available for enough time; add on more than you think you will need. 
5. Invite the employee to a disciplinary meeting in writing with a different manager to the person conducting the investigation if practicable.
6. Check they have been:
   1. told the time, date and location of the meeting. Ensure there is sufficient time before the meeting for the employee to consider the evidence and prepare, balanced against dealing with the matter promptly.
   2. told the allegation(s), whether it is/they are misconduct or gross misconduct
   3. told the possible outcome 
   4. given any documents you are relying on, including witness statements
   5. told of their right to be accompanied
7. Allow a postponement if the representative is not available.
8. Make adjustments for an employee with disabilities if necessary.  
9. Consider an interpreter if language is a difficulty. If you use a fellow employee be sure you can trust them to translate accurately.
10. Check with the employee if they intend to bring witnesses or submit witness statements or any other written representation.
11. Check your witnesses are available, if you are bringing any, and for up to 5 days after the proposed date in case the employee postpones
12. If the employee being disciplined is a Trade Union representative you must advise the Trade Union.
13. Plan the meeting to ensure all points are covered and that you retain control. Put them into a checklist for use in the meeting to make sure you haven’t missed anything, particularly if the employee has a tendency to digress.

Some problems which can arise:

Before the meeting:

1. The employee raises a grievance once you have invited them to the disciplinary hearing or
2. They go off sick, often citing stress.
3. They ask to bring their solicitor/ spouse or a friend to the meeting.

In the meeting:

1. They provide you with a written statement and say they don’t want to discuss it.
2. They raise a complaint in the meeting.
3. They ask to break and speak to their solicitor mid interview.
4. Emotions get out of hand; anger, tears, argumentative or even silence
5. The employee becomes ill or walks out.

Follow these links for advice on how to conduct the Disciplinary interview and all the letters.