Matching Information · Beginner Practice
Disciplinary Procedure — A Short Summary
13 questions · 20 min suggested · Lesson 17 of 17 · 30 XP
The disciplinary procedure is the formal route through which the company deals with conduct or performance issues that have not been resolved by other means. Most issues never reach this stage: ordinary conversations, informal coaching and supportive one-to-ones resolve a great many concerns before they become serious. Where they do not, however, it is important that both the company and the individual have a clear, predictable process.
**Informal stage.** In the first instance, a line manager is expected to raise any concern directly with the employee, in person, as soon as the concern becomes apparent. A record of the conversation is kept, but the conversation itself is informal and no sanction is imposed. Most matters never progress beyond this stage. Where matters do progress, the line manager must be able to show that the informal conversation has taken place, what was discussed, and what was agreed.
**Investigation.** If the informal stage is not sufficient, a more senior manager — one who has not been directly involved in the day-to-day supervision of the employee — is appointed as an investigator. The investigator gathers the relevant facts, interviews witnesses, and produces a short written report that sets out what has and has not been established. The employee is entitled to be informed that an investigation is taking place and, in most cases, is entitled to see the completed report.
**Disciplinary hearing.** Where the investigation concludes that there is a case to answer, a disciplinary hearing is convened. The hearing is chaired by a senior manager who has had no previous role in the matter. The employee may be accompanied by a colleague or a trade union representative. The chair considers the investigation report, hears the employee's response, and decides both whether misconduct has occurred and what, if any, sanction is appropriate.
**Possible outcomes.** The formal sanctions, in ascending order of severity, are: a written warning, a final written warning, dismissal with notice, and — for gross misconduct — dismissal without notice. Written warnings remain on the employee's file for a stated period, usually six or twelve months, after which they are disregarded unless further issues arise. All sanctions are set out in writing.
**Appeals.** An employee who is unhappy with a disciplinary decision may appeal within ten working days. An appeal is heard by a senior manager who has had no previous involvement, and whose decision is final.
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Questions 14–19
Sentence completion
- At the informal stage, a record of the conversation is kept but no ______ is imposed.
- The investigator is a more senior manager who has not been directly involved in the day-to-day ______ of the employee.
- The investigator produces a short written ______ that sets out what has been established.
- At the disciplinary hearing, the employee may be accompanied by a colleague or a trade union
- A final written warning is the sanction immediately below ______ with notice.
- An employee who is unhappy with a decision may appeal within ______ working days.
Questions 20–22
Multiple choice
- Return-to-work meetings are not normally held after absences of
- Where the line manager has been closely involved in the cause of the absence,
- The conversation does not ask the employee for
Questions 23–26
Matching Features
- An employee returns after four days away with the flu.
- An employee returns after a single day off because of a bad migraine.
- An employee has been off work following a difficult incident in which their immediate manager was involved.
- An employee asks if a trade union representative may accompany them to the meeting.