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The Code of Practice has been laid before parliament for approval and will be coming into force on 1 October 2004. It provides practical guidance to employers and workers on:

Statutory requirements relating to
disciplinary and grievance
procedures

What constitutes reasonable
behaviour when dealing with these
issues

Producing and using set
procedures

A workers right to bring a
companion to hearings

TO WHOM DOES THE CODE APPLY?
The statutory dismissal, disciplinary and grievance procedures, as set out in the Employment Act 2002 apply only to employees as defined in the Act, that is a person who works for an employer under the terms of a contract of employment whether it is written, oral or implied by nature of the relationship. It is good practice, however, to allow all workers access to such procedures.


DISCIPLINARY PROCEDURES

Employers are required to follow a statutory minimum procedure if they are contemplating dismissing an employee or imposing some other disciplinary penalty.

STANDARD PROCEDURE
Step 1
Inform the employee in writing of the allegations against them and invite them to a meeting to discuss the matter.

Step 2
Hold a meeting to discuss the allegations at which the employee has the right to be accompanied, and notify the employee of the decision

Step 3
If the employee wishes to appeal, hold an appeal meeting at which the employee has the right to be accompanied, and inform the employee of the final decision

MODIFIED PROCEDURE
This procedure is used in special circumstances involving gross misconduct

Step 1
Inform the employee in writing of the alleged misconduct, the reasons for thinking at the time that the employee was guilty and inform them of their right to appeal

Step 2
If the employee wants to appeal they must be invited to a meeting at which they have the right to be accompanied, after which the employer must inform of its decision

FAILURE TO COMPLY
If the employer fails to follow the statutory procedures and an employee makes a claim for unfair dismissal, the employment tribunal will automatically find the dismissal unfair.

Good disciplinary procedures should:
Be put in writing

Say to whom they apply

Be non-discriminatory

Allow for information to be kept
confidential

Tell employees what disciplinary
action might be taken

Say what levels of management
have authority to take action

Require employees to be informed
of the complaint before a meeting

Give employees a chance to have
their say before management
reaches a decision

Provide employees with the right
to be accompanied

Provide that no employee is
dismissed for a first breach except
in cases of gross misconduct

Ensure employees are given an
explanation for any sanction

Allow employees to appeal


GRIEVANCE PROCEDURES

There is a statutory grievance procedure that employees must invoke if they wish subsequently to use the grievance at an employment tribunal


STANDARD PROCEDURE
Step 1
Inform the employer of the grievance in writing

Step 2
Be invited to a meeting to discuss the grievance, where the right to be accompanied will apply, and be notified of the decision

Step 3
Be given the right to appeal

MODIFIED PROCEDURE
This applies where an employee has already left employment and the standard procedure has not yet been commenced.

Step 1
Inform the employer of the grievance and the basis for it in writing

Step 2
The employer must set out their response in writing and inform the employee

KEEPING RECORDS
It is important to keep written records during the process. They should include:
The nature of the complaint or
grievance

The employees defence or the
employers response

Findings made and action taken

Reasons for action taken

Whether there was an appeal and the outcome

Subsequent developments


REASONABLE BEHAVIOUR

Use procedures primarily to help and
encourage employees to improve
rather than just as a way of imposing a punishment

Inform the employee of the complaint against them, and provide them with an opportunity to state their case
before decisions are reached.

Allow employees to be accompanied at disciplinary hearings

Make sure that disciplinary action is
not taken until the facts of the case
have been established and the action
taken is reasonable

Never dismiss an employee for a first
disciplinary offence, unless it is a
case of gross misconduct

Give the employee a written
explanation for any disciplinary
action taken and make sure they
know what improvement is expected

Give the employee an opportunity to
appeal

Deal with issues as thoroughly as
possible

Act consistently


THE RIGHT TO BE ACCOMPANIED
Workers have a statutory right to be accompanied by a fellow worker or trade union official. A worker may have additional contractual rights to be accompanied by a legal representative, where they are required or invited by their employer to attend certain disciplinary or grievance hearings