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Disciplinary, capability and dismissal (57)

Accepting resignation during disciplinary process
This letter is for use before a disciplinary procedure has been completed. If the disciplinary process is continued, and a decision is made to dismiss, use our dismissal after receipt of resignation letter.  What happens to the disciplinary procedure that has been started?If the employee has resigned,... Read more
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Type: Letter
Alternative disciplinary sanctions letter
It's possible to impose a disciplinary sanction other than a formal warning or dismissal on an employee provided you've the contractual right to do so and the sanction is only temporary.Usual disciplinary sanctionsThe Acas Code of Practice on Disciplinary and Grievance Procedures indicates that the usual... Read more
DOWNLOAD June 2019
Type: Letter
Capability procedure
Dealing with an employee's poor performance can be particularly difficult where you know they are simply incapable of fulfilling the tasks and duties expected of them in their role, so they aren't really to blame. Our capability procedure ensures you deal with the problem both fairly and sympathetically.What... Read more
DOWNLOAD September 2019
Type: Procedure
Confirmation of no further disciplinary action
Whilst the outcome of most disciplinary hearings will result in the imposition of some form of disciplinary sanction against the employee, occasionally it will be the case that no further action is to be taken. In this case, the employee should still receive confirmation of this in order to formally... Read more
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Type: Letter
Dealing with poor performance checklist
 This checklist is intended for cases where performance cannot be managed by the normal appraisal system, and the outcome may be dismissal if performance is not improved. Potentially fair dismissal reasonUnder the Employment Rights Act 1996 one of the five potentially fair reasons for dismissal is capability,... Read more
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Type: Checklist
Disciplinary demotion letter
Instead of formally warning or dismissing an employee for misconduct, it is permissible to demote them as a disciplinary sanction provided this is on a temporary basis and you have the contractual right to do so. Our disciplinary demotion letter is for use in this case.Contractual rightDemotion is the... Read more
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Type: Letter
Disciplinary hearing order of proceedings
Where managers are asked to chair disciplinary hearings, if they're new to the whole experience, it's helpful to give them guidance on how the hearing should be conducted. Our document will assist in ensuring they conduct hearings appropriately and cover all the matters that need to be dealt with in... Read more
DOWNLOAD August 2019
Type: Miscellaneous
Disciplinary investigation report
Our disciplinary investigation report will help an investigating officer summarise the investigation that was carried out, including the evidence gathered, what it shows (and doesn't show) and their recommendations for the next step.Investigation summaryA fair disciplinary procedure doesn't absolutely... Read more
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Type: Form
Disciplinary procedure
Dealing with conduct and other disciplinary matters is one of the most difficult challenges for any employer. Make a wrong move and an employee can exact a high price. And even if you've a good reason to take action, tribunals demand that you follow the right procedure to the letter. Our disciplinary... Read more
DOWNLOAD September 2019
Type: Procedure
Disciplinary proceedings checklist
 Disciplinary proceedings checklist The Acas Code of Practice on Disciplinary and Grievance Procedures says that your disciplinary proceedings must be both fair and reasonable. Any failure to act in this way could result in a finding of unfair dismissal. However, there's quite a lot to remember during... Read more
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Type: Checklist
Dismissal due to poor performance
When you want to confirm a dismissal on the ground of poor performance, you will need our dismissal letter. This is the final sanction for a lack of capability that isn't the employee's fault. Potentially fair dismissal reasonUnder the Employment Rights Act 1996 one of the five potentially fair reasons... Read more
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Type: Letter
Dismissal with notice letter (misconduct)
If you've followed the warnings procedure to its natural conclusion, it means that a dismissal is going to be inevitable, but again only after a disciplinary hearing. When you want to confirm a dismissal on grounds of misconduct, you will need our dismissal with notice letter. This is the final disciplinary... Read more
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Type: Letter
Dismissal without notice letter (gross misconduct)
If, after a disciplinary hearing, you take the decision to dismiss the employee because they've committed an act of gross misconduct, such as theft or violence, you will need our dismissal without notice letter. This dismisses the employee with immediate effect. A trust and confidence breakdownA Dismissal... Read more
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Type: Letter
Employee disciplinary record
It's advisable to keep a brief summary of an employee's disciplinary history on file, even if full details of the disciplinary case have been removed because the warning is time-expired. Use our employee disciplinary record to do this.  A summary sheetWhen you discipline an employee for an act of misconduct,... Read more
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Type: Form
External witness statement request letter
If, during a disciplinary investigation, it transpires that there were external witnesses, then as part of a good investigation you should endeavour to obtain witness statements from them. Use our external witness statement request letter to assist you with this process.External witnessesClearly, it... Read more
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Type: Letter
Failure to attend disciplinary hearing letter
Our letter can be used where the employee is a no-show at their disciplinary hearing. This usually happens when they're unwilling to attend because they refuse to face up to the issue. Rearrange the hearing at least once so that you've given them every opportunity to turn up, but on the second occasion... Read more
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Type: Letter
Incapacity checklist
 Use this checklist to help you manage employees who are absent for a long period or are persistently absent for short periods due to sickness or injury.  Your procedure for managing sickness should be separate from your disciplinary procedure for all cases of ill health as opposed to misconduct. However,... Read more
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Type: Checklist
Letter advising appeal is out of time
You can use our letter to advise employees that their appeal against a disciplinary or capability sanction or a grievance decision can't be heard as it's out of time. However, be careful about being too rigid in sticking to a prescribed time limit as you still need to comply with the requirements of... Read more
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Type: Letter
Letter appointing a disciplinary investigation manager
Where disciplinary allegations are made against an employee, the first stage is to appoint a manager to conduct an investigation, the purpose of which is to ascertain whether or not there is a potential disciplinary case for the employee to answer. Use our letter to do this.Role of the investigating... Read more
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Type: Letter
Letter confirming expiry of a warning
It's worth letting an employee know when a warning has expired so that they're aware the disciplinary or performance management paperwork has been removed from their file in compliance with data protection obligations, but that you've kept a summary of the action and sanction as you might need it in... Read more
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Type: Letter
Letter enclosing witness confidentiality agreement and undertaking
 Letter enclosing witness confidentiality agreement and undertaking Where you require an employee to sign a witness confidentiality agreement and undertaking, it's only right that you explain the seriousness of the document to them. This should include the likely consequences if they breach it. Our... Read more
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Type: Letter
Letter enclosing workplace companion confidentiality agreement
Where you require a workplace companion to a disciplinary or grievance hearing to sign a confidentiality agreement, use our covering letter to issue that document to them.Statutory rightA worker has a statutory right to be accompanied to a disciplinary, grievance or appeal hearing by either a work colleague... Read more
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Type: Letter
Letter excluding employee from disciplinary hearing
 Letter excluding employee from disciplinary hearing When faced with disciplinary action, not all employees act politely. Some have been known to become verbally or physically abusive; others have intimidated their employers and other witnesses. As this is unacceptable behaviour you can ban them from... Read more
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Type: Letter
Letter following disciplinary appeal hearing
After the disciplinary appeal hearing, you need to formally notify the employee in writing of the outcome. The decision on an appeal is normally final unless your disciplinary procedure specifically contains a right of further appeal to a higher level of management.Uphold or rejectAfter hearing the employee's... Read more
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Type: Letter
Letter following poor performance appeal meeting
After the poor performance appeal meeting, you will need to formally notify the employee in writing of the outcome. The decision on an appeal is normally final unless your capability procedure specifically contains a right of further appeal to a higher level of management.Notification of the outcomeUse... Read more
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Type: Letter
Letter following receipt of medical certificate during suspension
It's not uncommon for employees who are suspended from work pending a disciplinary hearing to get themselves signed off sick with anxiety, stress or depression. As the employee can't now come to work because they're apparently too sick, they don't need to be suspended any more. So, use our letter following... Read more
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Type: Letter
Letter inviting employee to mediation
If you want to try to resolve a workplace dispute through mediation, provisionally appoint a mediator and then use our letter inviting employee to mediation to set the process in motion.  However, be aware that mediation is entirely voluntary so you cannot force an employee to enter into it. Appointment... Read more
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Type: Letter
Letter lifting suspension
Where an employee has been suspended on pay in a case where you believed them to have committed an act of very serious or gross misconduct, after investigation you might find there is, in fact, no case to answer. In this case, use our letter lifting suspension and confirming no disciplinary action will... Read more
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Type: Letter
Letter offering options for a disciplinary hearing
Where an employee is signed off on long-term sick leave during a disciplinary process, there will come a point where you need to try to progress that process to its conclusion. Use our letter offering options for a disciplinary hearing to do this.Fair procedureWhere the employee is signed off sick pending... Read more
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Type: Letter
Letter refusing choice of companion
Use our letter refusing choice of companion to decline a worker's request to be accompanied at a disciplinary or grievance hearing where they have purported to select someone who falls outside the statutory categories of companion. Be careful though where the worker is disabled.Statutory requirementsSection... Read more
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Type: Letter
Letter rescheduling disciplinary hearing
Use our letter if you need to postpone a scheduled disciplinary hearing or if you are agreeing to an employee's request to postpone. It's reasonable to reschedule if the employee has valid grounds for their request, you need to do so for business reasons or because further allegations against the employee... Read more
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Type: Letter
Letter to doctor seeking advice on whether employee fit to attend a disciplinary hearing
If an employee has been signed off sick during the disciplinary process, whilst you will probably tolerate the absence for a short period of time, there will come a point when you need to progress the disciplinary hearing to its conclusion. Use our letter to doctor seeking advice on whether employee... Read more
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Type: Letter
Letter to external mediator
It's important to carefully choose an external mediator.  Our letter to external mediator is designed to elicit key information that will assist you in making your choice.External appointmentDisputes that look likely to result in legal proceedings, or which are complicated or high value, are best resolved... Read more
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Type: Letter
Letter to sick employee postponing a disciplinary hearing
It is not uncommon for you to commence disciplinary action against an employee but then for them to produce a statement of fitness for work signing them off sick for a few weeks before the disciplinary hearing has taken place.  Use our letter to sick employee postponing a disciplinary hearing to tackle... Read more
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Type: Letter
Letter warning actions will be viewed as potential gross misconduct
 Letter warning actions will be viewed as potential gross misconduct The penalty for proven gross misconduct is normally summary dismissal. This means that employment can be terminated without notice or pay. Certain actions, such as workplace violence or theft, will always fall into this category; others... Read more
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Type: Letter
Mediation checklist
Assuming an employee has agreed to participate in mediation, if the mediator is in-house, he or she can use our mediation checklist to help them to prepare for and present the mediation session.PreparationBoth the mediator and you will need to prepare for the mediation session. The mediator will want... Read more
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Type: Checklist
Mediation policy
If you have a dispute with an employee, one option is for it to be resolved through mediation. Our mediation policy advises employees of the existence of mediation as a method of resolving workplace disputes.Mediation definedMediation is an informal and confidential process in which an impartial third... Read more
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Type: Policy
Minutes of disciplinary hearing
You must take minutes of each disciplinary hearing that you hold. Our document contains prompts to include all relevant information and acts as proof that you will have covered all the matters that should be mentioned during a disciplinary hearing. minutes Our Minutes of Disciplinary Hearing document... Read more
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Type: Document
Misconduct checklist
Use this checklist to help you deal with an employee's misconduct. This will involve carrying out an investigation and then, if there is a case to answer, proceeding to a disciplinary hearing, after which you will need to consider the penalty and communicate your decision to the employee.What is misconduct?Misconduct... Read more
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Type: Checklist
No disciplinary action letter
Use this letter when no disciplinary action is to be brought against an employee after an initial investigation.  No case to answerFollowing an investigation into disciplinary allegations, you might conclude that there is no case to answer, with the result that no formal disciplinary action will be... Read more
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Type: Letter
Notice of disciplinary appeal hearing
If you deny an employee the right to appeal against a disciplinary sanction or dismissal, you will be acting unfairly and in breach of the Acas Code of Practice on Disciplinary and Grievance Procedures. Use our notice of disciplinary appeal hearing letter when an employee appeals against a disciplinary... Read more
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Type: Letter
Notice of performance review meeting
It's possible to deal with performance issues through your disciplinary procedure. However, where the issue is one of "can't perform" (due to lack of capability) as opposed to "won't perform" (for example, because of negative attitude problems or laziness), then you might opt for a performance review... Read more
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Type: Letter
Notice of poor performance appeal meeting
If you deny an employee the right to appeal against a poor performance warning or dismissal, you will be acting unfairly and in breach of the Acas Code of Practice on Disciplinary and Grievance Procedures. Use our notice of poor performance appeal meeting letter when an employee appeals against your... Read more
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Type: Letter
Notification of disciplinary hearing
If you want to take disciplinary action against an employee, the first step is to write to them setting out the allegations and requiring their attendance at a formal disciplinary hearing. Our notification of disciplinary hearing letter ensures you get things off to a good start.Hearing noticeArranging... Read more
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Type: Letter
Notification of disciplinary investigation
Use our notification of disciplinary investigation letter to inform an employee in writing of the allegations against them and that an investigation will be carried out. If necessary, hold an investigatory meeting with them as part of the investigation.Not suspendedOur Suspension Letter advises an employee... Read more
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Type: Letter
Performance review meeting order of proceedings
Performance review meetings need to be conducted in a constructive manner, with a view to putting measures in place to help the employee to improve their performance. If dismissal is being contemplated, redeployment should be explored as an alternative option. Our performance review meeting order of... Read more
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Type: Document
Post-disciplinary hearing checklist
Your duty to act "fairly and reasonably" doesn't end with the disciplinary hearing. The decision-making process and any sanction imposed must be approached in exactly the same way. But, as with the earlier stages of the proceedings, this could trip you up. Our post-disciplinary hearing checklist ensures... Read more
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Type: Checklist
Post-dismissal checklist
This checklist should be used following all dismissals to assist in compliance with legal requirements. RestraintsAlso see our Pre-Dismissal Checklist and its introduction for matters to be considered prior to dismissing employees including those relating to restrictive covenants and garden leave. Providing... Read more
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Type: Checklist
Pre-dismissal checklist
This checklist covers matters to be considered prior to dismissing employees and can help to ensure compliance with the various legal requirements surrounding dismissals. Fair reason for dismissalMake sure you have a fair reason to dismiss and that you have followed a fair procedure as employees who... Read more
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Type: Checklist
Request to attend investigatory meeting
Once allegations have been made against an employee relating to misconduct in the workplace, the first step is to conduct a proper investigation. Particularly where the allegations are reliant on the witness evidence of third parties, as part of the investigation you should call the employee in for an... Read more
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Type: Letter
Suspension letter
In cases of gross or very serious misconduct, you should give careful consideration to suspending the employee for a brief period during your disciplinary investigation and pending a formal disciplinary hearing. Use our suspension letter for this purpose.Suspension from dutyIf there's an allegation... Read more
DOWNLOAD June 2019
Type: Letter
Tribunal preparation checklist
 If litigation cannot be avoided, the parties should prepare themselves as thoroughly as possible in order to bring or defend the case effectively. This checklist will help you prepare in the event that no resolution has been achieved and the claim is set to be heard by the employment tribunal.  Bundle... Read more
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Type: Checklist
Warning-final warning of poor performance
Warning/final warning of poor performanceFollowing a review meeting, if you want to formally warn the employee about their performance, you will need to issue a performance warning. This should give the employee a reasonable period of time in which to improve and warn them that a failure to do so could... Read more
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Type: Letter
Witness confidentiality agreement and undertaking
When you conduct disciplinary proceedings, or an investigation, you'll probably require the assistance of other employees. But you don't want them shooting their mouth off about what's going on or discussing it with other individuals involved. Not only could this jeopardise the proceedings, it's a breach... Read more
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Type: Agreement
Witness statement record
When conducting a disciplinary investigation, in many cases you will need to interview witnesses and ask them to provide witness statements. Use our witness statement record to assist your employees in the provision of their statements. For the recordDuring a disciplinary investigation there is a good... Read more
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Type: Miscellaneous
Workplace companion confidentiality agreement
Where a worker requests to be accompanied to a disciplinary or grievance hearing, use our workplace companion confidentiality agreement. It sets out the extent of the companion's role and your requirements for confidentiality.Statutory rightA worker has a statutory right to be accompanied to a disciplinary,... Read more
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Type: Agreement
Written warning and final written warning
Following a disciplinary hearing, if you want to formally warn the employee you will need to issue either a written warning or a final written warning. These are important documents so you should ensure you draft them carefully; a one-liner simply telling the employee you are giving them a "written warning"... Read more
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Type: Letter