Handling disciplinary and capability issues effectively

Course Overview

The Employment Act sets out legal minimum requirements for disciplinary and grievance procedures that all employers must follow.

While you as an HR professional are reasonably familiar with how disciplinary and capability interviews should be conducted, many of the people carrying out these interviews in your business need further guidance if your organisation is to remove the risk of things going wrong.

This one-day seminar will help you to understand the policies and procedures involved in disciplinary, conduct and capability issues from recognition of a problem to interview stage.

Audience

• Line managers and HR staff who are required to operate disciplinary procedures within their own organisation's policies and procedures and within the law
• This seminar is particularly relevant to newly appointed managers or HR staff
• Managers at any level

Skills Gained

By the end of this seminar, you will be able to:

• State the relevance of statutory and contractual disciplinary procedures and the ACAS Code of Practice in carrying out disciplinary procedures
• Recognise the key management responsibilities involved in carrying out disciplinary procedures
• Identify the role undertaken by those who are asked to act as companions to their colleagues at disciplinary hearings
• Use informal action effectively and recognise when formal procedures are necessary
• Identify the key skills and processes involved in disciplinary interviewing

Course Outline

Introduction and objectives

Disciplinary policies and procedures

• Discipline in context - the relevance of current legislation
• The statutory procedures - disciplinary and dismissal procedures
• Contractual procedures
• The ACAS Code of Practice
• Warnings - appropriate stages
• Varying procedures when necessary
• The 'life' of warnings
• The role of employment tribunals
• Knowing where to get help
• Behaving reasonably as an employer
• Identifying the managment responsibilities involved in dealing with disciplinary issues
• The statutory right to be accompanied
• The role of the 'companion'
• The appeal procedure
• Grounds for appeal
• Appeal hearings

Dealing with conduct and capability issues

• Identifying the nature of disciplinary problems and the appropriate course of action
• Defining 'capablility'
• Defining 'conduct'
• Where absence cases fit in
• 'Borderline' cases
• Using probation periods effectively
• Using informal discipline effectively
• Recognising the need for a more formal approach
• Working with policies and procedures
• Coping with stress, absence and grievance issues in relation to disciplinary matters
• The importance of investigation
• Suspending employees
• Using witnesses and witness statements
• The 'burden of proof'
• The balance of probability
• Case study: Dealing with conduct and capability issues

The disciplinary interview

• The role of the disciplinary interview
• The preparatory stage
• Inviting the employee to a disciplinary hearing
• Ensuring that the employee is able to prepare adequately for the interview
• Structuring the interview to ensure procedural correctness
• Facilitating witness input into disciplinary interviews
• Making notes of the meeting
• Ensuring co-operation from employees and their companions
• What happens when the employees does not attend the interview
• Imposing sanctions
• Considering mitigating circumstances
• Arranging for follow-up action
• Writing warning letters
• Keeping a record

Handling disciplinary and capability issues effectively / CM032682