Disciplinary Procedures
Disciplinary procedure
A mandatory disciplinary procedure was introduced on 1st October 2004
to improve the resolution of disputes within the workplace. This was part
of the package of statutory dispute resolution procedures that also included
a grievance procedure
.
Employment contract
Although originally intended to be so, the statutory dispute resolution procedures are not part of the employment contract, but there is a requirement for the employment contract to state where the employee may find a written copy of the disciplinary procedure and the grievance procedure. Most employers set these out in the employment handbook.
Three step procedure?
When introduced, the statutory disciplinary procedure was promoted as a simple three-step procedure that, if followed, ensured a fair process. Procedural fairness is an integral part of the statutory disciplinary procedure, but full compliance with it involves many more than three steps.
Under the statutory dispute resolution procedures an automatic finding of unfair dismissal may be made if the employer fails to follow the disciplinary procedure. Financial awards against the employer could also be increased by between 10% and 50%.
More complex than at first appeared
To complicate matters further, the statutory disciplinary procedure does not apply in every case. It does not apply:
- where there is a dismissal for breach of a statutory provision;
- to informal warnings;
- to the issue of a verbal or written warning;
- where the employee is suspended on full pay; or
- to constructive dismissals.
Many employers apply the statutory disciplinary procedure in all cases other than informal warnings and constructive dismissals.
A modified procedure applies in cases of gross misconduct, but that is not without its own complications. Worse still is that due to the poor drafting of the statutory dispute resolution procedures, in some instances no procedure applies at all.
The Employment Appeal Tribunal and the Court of Appeal have tried to make the statutory disciplinary procedure workable. The result has been even greater complexity.
Grievance procedure
The second plank of the statutory dispute resolution procedures is the grievance procedure. This procedure is for resolving a complaint that an employee may have against the company.
For example, an employee unhappy with the way in which the disciplinary procedure has been handled may raise a complaint under the grievance procedure. The grievance should be dealt with at the conclusion of the internal disciplinary procedure and adds a further layer of complexity.
Changes to the statutory dispute resolution procedures
The complexity of the statutory dispute resolution procedures, especially the disciplinary procedure, is such that they will soon be subject to major changes – particularly in respect of automatic unfair dismissal.
The modifications to the disciplinary procedure will be published in the near future, but no date has yet been set for their introduction. The Department for Business Enterprise and Regulatory Reform (DBERR, formerly the DTI) introduces legislation changes on 6th April and 1st October in each year.
Keeping you up-to-date
We will automatically update your employment documents each time there is a law change, such as the proposed new statutory dispute resolution procedures. Knowing that your employment documents and employment procedures are up-to-date, particularly in this complex area, gives you peace of mind.
Our e-mail newsletter keeps you informed of developments that may affect either your employment contract or employment procedures.
We also provide you with telephone HR support to help you implement your employment contract and employment procedures, such as disciplinary procedures. Legal advice is available from our 24 hour advice line.
