The first step to ensuring fair and proportionate disciplinary outcomes is to follow a clear and transparent procedure that complies with the ACAS Code of Practice on Disciplinary and Grievance Procedures. This means that you should inform the employee of the allegations against them in writing, conduct a thorough and impartial investigation, hold a disciplinary hearing where the employee can present their case and be accompanied by a colleague or a trade union representative, and communicate the outcome and the reasons for it in writing. You should also provide the employee with the opportunity to appeal the outcome if they are dissatisfied with it.
To ensure that disciplinary outcomes are fair and proportionate, follow a consistent process by reviewing the facts of the case thoroughly and considering any mitigating circumstances. Apply company policies and procedures uniformly, and compare the outcome with similar past cases to avoid bias or favoritism. Involve HR and senior management to provide additional perspectives, and ensure that any actions taken align with the severity of the offense. Always ensure compliance with legal standards and provide the employee with an opportunity to respond or appeal the decision.
The second step to ensuring fair and proportionate disciplinary outcomes is to consider the evidence and circumstances of each case carefully and objectively. You should not rely on hearsay, assumptions, or personal opinions, but on facts, documents, and witnesses that can support or challenge the allegations. You should also take into account the employee's previous record, length of service, mitigating factors, and any relevant policies or standards that apply to their role. You should not impose a harsher or more lenient outcome than what is justified by the evidence and circumstances, or than what you would impose on another employee in a similar situation.
The third step to ensuring fair and proportionate disciplinary outcomes is to choose an appropriate sanction that matches the level and nature of the misconduct or performance issue. You should follow a graduated approach, where you start with informal or low-level sanctions, such as verbal or written warnings, and escalate to more serious sanctions, such as final warnings, suspension, demotion, or dismissal, only if the problem persists or worsens. You should also explain the consequences of failing to improve or comply with the sanction, and provide the employee with support, guidance, and feedback to help them achieve the required standards.
The fourth step to ensuring fair and proportionate disciplinary outcomes is to review and monitor the outcome regularly and adjust it if necessary. You should set a clear and realistic timescale for the employee to improve or rectify their behaviour or performance, and check their progress and compliance periodically. You should also recognise and acknowledge any positive changes or achievements, and provide constructive feedback and coaching if needed. If the employee fails to meet the expectations or conditions of the outcome, you should consider taking further disciplinary action or extending the sanction. If the employee meets or exceeds the expectations or conditions of the outcome, you should confirm that the sanction has expired or been lifted, and update their record accordingly.
The fifth step to ensuring fair and proportionate disciplinary outcomes is to handle appeals and grievances promptly and fairly. You should inform the employee of their right to appeal the outcome and the procedure for doing so, and allow them to submit their grounds for appeal in writing within a reasonable time frame. You should then arrange an appeal hearing where the employee can present their case and be accompanied by a colleague or a trade union representative, and where a more senior or independent manager can review the outcome and decide whether to uphold, overturn, or modify it. You should communicate the appeal decision and the reasons for it in writing, and inform the employee that it is final. You should also respond to any grievances raised by the employee or their representative in relation to the disciplinary process or outcome, and follow the ACAS Code of Practice on Disciplinary and Grievance Procedures to resolve them.