DEALING WITH
DISCIPLINARY
ISSUES
CONTENTS:
1. Principles of natural justice
2. What comes up for VBOM and Staff
3. What constitutes a disciplinary issue
& gross misconduct
4. Key points to remember when dealing with
disciplinary issues
5. Preparation for decision to take disciplinary
action
6. Formal disciplinary stages
7. Preparation and running of disciplinary
meetings.
8. Appeals Procedure
1. PRINCIPLES OF
NATURAL JUSTICE
A COURT OR TRIBUNAL
WOULD LIKELY CONSIDER
ANY PROCEDURES, WHICH
ARE LESS BENEFICIAL TO
AN EMPLOYEE, UNFAIR.
(Emphasis will be on the Employer to
prove they acted fairly).
STANDARDS OF PROCEDURAL
FAIRNESS MEANS THE EMPLOYEE
HAD……
1. NOTICE OF AND
UNDERSTOOD THE
CASE AGAINST HER / HIM
2. THE RIGHT TO REPLY
TO ACCUSATIONS
3. THE OPPORTUNITY TO
HAVE SOMEONE
ACCOMPANY THEM
4. THE OPPORTUNITY
TO IMPROVE
PERFORMANCE
& CONDUCT
5. THE RIGHT TO HAVE
THE CASE HEARD
WITHOUT PREJUDICE
6. THE RIGHT TO
APPEALTHE DECISION
MADE
REQUIRMENTS OF PROCEDURAL
FAIRNESS
PERSISTENT PATTERNS OF
BEHAVIOUR EVIDENCE THAT THE EMPLOYER
GAVE THE EMPLOYEE PROPER
WARNINGS AND A CHANCE TO
IMPROVE
SINGLE SERIOUS
INCIDENT EVIDENCE THAT A
FULL AND FAIR
INVESTIGATION
TOOK PLACE
THE EMPLOYMENT APPEALS
TRIBUNAL (E.A.T.) IN TESTING THE
FAIRNESS OF A DECISION TO
DISMISS, WILL MEASURE EITHER
THE
PROCEDURES / OR / THE LACK OF
PROCEDURES…
AGAINST THE STATUTORY CODE
EMPLOYERS SHOULD HAVE
DISCIPLINARY PROCEDURES IN
PLACE BUT ALSO NEED TO
FOLLOW THESE PROCEDURES
CONSISTENTLY WHEN
DISCIPLINING ANY EMPLOYEE.
THE BEST SOLUTION TO
DEALING WITH DISCIPLINARY
ISSUES IS……..
•
PREVENTION ~ PREVENTION
PREVENTION !!!!!!
•
ACTING FAIRLY & STICKING WITH
PROCEDURES
•
KEEPING ACCURATE RECORDS
2. WHAT COMES UP FOR
VOLUNTARY BOARD OF
MANAGEMENT AND
STAFF WHEN DEALING
WITH DISCIPLINARY
ISSUES
SOME ISSUES FOR VBOM OR
SUPERVISOR
 Uncomfortable bringing up the issue in the early stages.
 Unskilled or not comfortable at giving direct feedback
 Let down and frustrated at the lack of performance.
 That they just want to get rid of the problem / go into
denial.
 That its their fault or boundaries get blurred between
friendship and being an employer.
 Insecure and concerned about initiating what is, in
effect, a legal procedure.
 Nervous about whether or not they are being fair to an
employee.
SOME ISSUES FOR EMPLOYEES
• Feelings of being picked on.
• Insecure in there own work performance.
• False sense or lack of awareness of their own
difficulties in performance at work
• Incapable of changing / meeting the required
standard.
• Regretful and apologetic for their past
performance.
• Angry at the supervisor, Project, and or VBOM
3. WHAT IS
A DISCIPLINARY
ISSUE……..
EXAMPLES OF
MIS-CONDUCT &
GROSS MIS-CONDUCT
EXAMPLES OF MIS-CONDUCT
 Consistently poor attendance / time keeping or lateness.
 Failure to follow procedures re sick leave or injury.
 Negligence in the performance of duties.
 Being absent without reasonable permission or excuse.
 Deliberate breach of safety rules.
 With holding of info which obstructs the work of the project.
 Bringing the organisation into disrepute.
 Breach of confidentiality.
 Consistent non-co-operation with other staff, direct supervisor
or VBOM.
 Breach of the organisations policies and procedures
 Miss-use of computer / email / internet in projects time
EXAMPLES OF GROSS MIS-CONDUCT
 Unauthorised use of assets and equipment.
 Sexual harassment, harassment or bullying.
 Refusal to carry out duties or obey reasonable instruction
(except where it impacts on a workers safety).
 Theft or unauthorised possession of another employees / the
projects property.
 Malicious mischief resulting in danger to fellow employees.
 Consumption of alcohol or drugs.
 Possession of illegal substances whilst on the premises.
 Violent, threatening or bullying behaviour.
 Inappropriate use use of email, internet or computer systems re
pornography / child abuse.
 Serious breaches of terms and conditions.
 Falsification of records / accounts / expenses / reports.
 Gambling or money lending etc..
4. KEY POINTS TO
REMEMBER WHEN
DEALING WITH
DISCIPLINARY ISSUES
4.1 At the core of any project is the need for satisfactory
standards of performance and behaviour from all staff. Staff
should be informed o what is acceptable during their induction
period.
4.2 Important to have fair and equitable disciplinary procedures
4.3 Disciplinary procedures should be available in writing to all
staff within 28 days of starting work
4.4 Objective of the procedures is not to impose punishment but
to allow a mechanism which gives employees time to improve
performance or conduct.
4.5 A dismissal should only arise when all efforts to improve
performance or conduct have been exhausted.
4.6 It is important to understand the implications of taking any
form of disciplinary action and the procedural requirements.
All incidents and efforts to bring about change must be recorded
and dated.
4.7 It is important to always have two project representatives in
attendance.
4.8 At all stages it is important to discuss and / or seek legal
advise from your solicitor.
4.9 Boundaries between managing performance and taking
disciplinary action are often confused. If attendance, timekeeping or competency levels slip, and no action is taken,
employees may assume that such behaviours are ok.
It is therefore important to take informal action on early indicators
and provide feedback on what is acceptable and unacceptable
behaviour or performance.
4.10 As a result, performance levels will be back in line more
quickly and the project can build on the strengths and the
positive relationship with the employee. This reduces the
incidence of using the formal elements of the disciplinary
procedure.
4.11 In some cases it may be necessary to use the
disciplinary procedures and this should not be considered a
failure on the part of the project.
4.12 Legal protection for unfair dismissals comes into force at
the end of one year’s service.
4.13 The employee must always be kept informed in writing of
what is happening and be clear after leaving each disciplinary
meeting what the implications are if improvement does not
happen.
4.14 It is important to know how to use the probationary
period to deal with poor performance, breaches of procedures
or poor selection decisions at the early stages.
4.15 However, employers are required to provide all employees
with details of the disciplinary procedures within 28 days of
starting work.
5. HOW YOU NEED TO
PREPARE BEFORE MAKING
THE FINAL DECISION TO
INSTIGATE DISCIPLINARY
PROCEDURES
5.1 WORK WITH RSA / SEEK LEGAL ADVICE
5.2 GATHERING INFORMATION:
Such as collating the evidence of poor performance re
supervision records, time sheets, operational plans / targets
set and not met etc..
5.3 CARRYING OUT INVESTIGATION OF
PARTICULAR INCIDENT:
This could be in relation to gross miss-conduct. The employee
must be made aware that this is happening. Should be
undertaken by a neutral person / persons and written up
objectively and all parties who witnessed this should be
interviewed.
5.4 ASSESSMENT IF THERE IS ADEQUATE
GROUNDS FOR DISCIPLINARY ACTION
REMEMBERING TO TAKE INTO
CONSIDERATION THE FOLLOWING:
• That Projects standards have been made clear.
• Rules, regulations, and procedures have been defined.
• Employee has been made aware of the disciplinary procedures.
• Has the disciplinary procedure been used to address a similar
issue in the past.
• The employee has previously been told that they have to
improve on performance.
5.5 MAKE DECISION AS TO NEXT STEPS
If it is to initiate disciplinary action then you must follow
consistently you procedures right through to the final stage
acting as fairly as possible and keeping the situation confidential
and professional.
6. FORMAL STAGES OF
THE DISCIPLINARY
PROCESS
FOUR STAGES FOR DEALING WITH
ONGOING MISS-CONDUCT
STAGE 1:
FIRST VERBAL WARNING
STAGE 2:
FIRST WRITTEN WARNING
STAGE 3:
FINAL WRITTEN WARNING
STAGE 4:
DISMISSAL
BEFORE GIVING THE 1st VERBAL
WARNING THE EMPLOYEE SHOULD BE:

Told that their work / behaviour has fallen below an acceptable
level and be made aware that this is unacceptable.
 This should be recorded at a support and supervision meeting and
employee has the right to see it etc.

Advised of how improvements can be made and given a period of
time to improve their work / behaviour / attendance.

Informed of the likely consequences if there is a lack of
improvement i.e. Formal disciplinary procedures


Advised to read the projects disciplinary procedures
Given adequate notice of any subsequent meetings and informed
of their right to bring someone with them
STAGE 1: FIRST VERBAL WARNING
IF THERE ISN’T IMPROVEMENT IN THE EMPLOYEE’S
BEHAVIOUR BY A SPECIFIED TIME, THE FORMAL VERBAL
WARNING IS ISSUED. PROPER NOTIFICATION MUST BE
GIVEN OF THIS.
THE FIRST VERBAL WARNINGS SHOULD STATE CLEARLY:
• How the employee has dropped in acceptable standards.
• What improvement is required and by when.
• An agreed plan for assistance.
• How long this written warning will stay in the employees files.
 Notification of what will happen if there is no improvement by the
specified review date.
(This will need to be put in writing to the employee after you have had the
meeting)
IF THERE IS NO IMPROVEMENT BY THE DATE SET FOR THE
NEXT REVIEW THE PROJECT WILL MOVE ONTO
STAGE 2: First Written Warning
STAGE 2: FIRST WRITTEN
WARNING
THIS WILL REQUIRE THE PROJECT TO PUT THE
FOLLOWING IN WRITING:
 What the initial concerns were.
 Details of how the employee’s progress has not been
satisfactory.
 The improvements required and by when.
 Any agreed plan for assistance.
 How long this written warning will stay in the employees files.
 Notification of what will happen if there is no improvement by
the specified review date.
IF THERE IS NO IMPROVEMENT BY THE DATE SET FOR
THE NEXT REVIEW THE PROJECT WILL MOVE ONTO
STAGE 3: First Written Warning
STAGE 3: FINAL WRITTEN WARNING
IF, AT THE DATE OF THE AGREED REVIEW MEETING THAT
PROGRESS IS STILL UNSATISFACTORY, THE EMPLOYEE WILL
RECEIVE A FINAL WRITTEN WARNING SPECIFYING THE SAME AS
IN STAGE 2, WHICH WILL REMAIN ACTIVE ON THEIR PERSONNEL
FILE FOR A SPECIFIED PERIOD OF TIME.
THE FINAL PART OF THE LETTER SHOULD STATE THAT A REPEAT
OF THE OFFENCE OR A PERSISTENT LACK OF PROGRESS BY THE
NEXT REVIEW MEETING WILL LEAD TO DISMISSAL.
STAGE 4: DISMISSAL
DISMISSAL SHOULD BE CONFIRMED IN WRITING AND
SHOULD BE WITHIN THE TERMS OF THE MINIMUM
NOTICE AND TERMS OF CONDITIONS ACT.
THIS LETTER SHOULD ALSO STATE THE GROUNDS
FOR THE ACTION TAKEN.
7. FACILITATION OF A
DISCIPLINARY
MEETING
7.1 OPENING THE MEETING
 Ensure all parties are introduced
 Clarify the role of the employee representative re listening on behalf of
the employee / If employee has not brought one , find out why and
record reasons.
 Explain that you will be taking notes and that you will be adjourning
the meeting for a period of time to reach final decisions once all the
information has been heard.
7.2 EXPLAIN THAT THE PURPOSE OF THE MEETING IS
TO:
 Initiate a disciplinary procedure / refer to letter sent.
 Check that the information gathered re disciplinary issues is accurate.
 Give the employee and opportunity to respond to questions.
 Allow the employee to share any relevant mitigating circumstances.
 To agree a performance plan / target / agree next steps
7.3 HEAR THE EVIDENCE:
Hear from employees perspective / ask questions / share information from
investigation (if one was undertaken) / invite comments / ask the
employee and their representative if they have anything to say in the
workers defence
7.4 ADJOURN MEETING FOR A SHORT WHILE TO:
 Check all the facts/ make sure all the questions have been asked / if not
what else do you need to ask.
 Assess whether or not the employee has added any additional
information to the process that was not envisaged and has this any
bearing on the disciplinary action.
 If yes, then the disciplinary group can decide to, seek further
information, get further legal advice, continue with suspension to gather
further info, or make a change to the disciplinary action.
 If not, then the disciplinary action can be up-held and implemented.
 Write the decisions down so that it can be read back to the employee.
 Re-convene the meeting and read out, make sure that employee
understands what has been said and write out formally to the employee
clarifying the situation.
8. APPEALS
PROCEDURES
EMPLOYEES HAVE THE RIGHT TO APPEAL
THE PROCEEDURE, IN WHICH CASE:
An Appeals Panel will need to be established
from other members of the VBOM and they will
have to go through an independent
investigation into the situation / meet with
worker / reach a decision to up-hold the
disciplinary process or change it.
Other supports could be utilised such as the
Labour Rights Commission / this is a free
service / information on another presentation