If the conduct or performance of one of your team falls below the standards required, you need to address it. To determine whether a member of your team falls below the standards required you should make reference to the individual’s contract of employment and job description and to the company’s code of conduct and disciplinary policy. 

Respect for you as a manager will be undermined if you are perceived as being inconsistent in the way you manage your team, for example if you overlook someone undermining your decisions or if you fail to deal with a member of the team whose errors are creating work for others. 

Your company’s HR advisor and disciplinary procedures can help you manage these issues.  

Relevant manager behaviours 

Addressing problems head-on and in a timely way fits with the desired behaviours of Handling conflict and people management issues. Taking an objective approach to problem solving and making sure you manage a conflict until it is resolved is critical. 

Exercise 2 and Exercise 3 offer a route to developing these behaviours.

All employers should have a written disciplinary policy and procedure in place to ensure that its employees are aware of and understand what constitutes acceptable behaviour and standards of work within the workplace. It should be fair and transparent. Your company’s disciplinary procedure will give an explanation of what constitutes misconduct and will provide examples which are relevant to your organisation. Where there is a serious breach, this may come under your company’s definition of gross misconduct as outlined in the disciplinary procedure

Examples of gross misconduct: 

• Engaging in criminal conduct  
• Engaging in acts of violence, or making threats of violence toward anyone on company premises or when representing the company; fighting or provoking a fight on the company's property or negligent damage to property. 
• Engaging in an act of sabotage; wilfully or with gross negligence causing the destruction or damage of company property, or the property of fellow employees, owners, service users or visitors in any manner. 
• Removal of any company property, including documents and any database(s), from the premises without prior permission from management; unauthorised use of company equipment or property for personal reasons; using company equipment for profit. 

In the cases of unsatisfactory performance or minor misconduct, you may choose to deal with the issue informally at first, only instigating the disciplinary procedure if that doesn’t work.  If, however, the problem is of a more serious nature, you will have to move to a formal process straight away.

In such cases you should check with your HR adviser beforehand.  They may also advise you on separate or related procedures that may be useful. For example, your company may have a separate capability procedure to manage poor performance, and workplace bullying may be dealt with under a separate policy and procedure.  

You can expect your company’s disciplinary procedure to set out the expected stages before any dismissal can take place. The disciplinary procedure should clearly outline who can make decisions at each stage of the procedure and will be clear who has the authority to dismiss. Most procedures will refer to the importance and requirement to consult HR before a decision is taken. You should check levels of authority before making any disciplinary decisions and always consult HR.

In general, try not to regard disciplinary procedures as a means of punishing staff but view them positively, as an opportunity to reaffirm the standards required and a source of support to help you encourage improvement. For the employee, they can be viewed as an opportunity to understand the standards expected of them and to work towards meeting them. 

1. Clarify the problem: establish the facts as soon as possible. This means carrying out an investigation, listening to all parties, including any potential witnesses and engaging with the detail in order to fully understand the issue and whether there is a disciplinary issue to be addressed.
2. Get advice: ensure your HR adviser knows the situation and you understand and follow their instructions in line with the disciplinary procedures. Inform your own manager where appropriate being careful to respect confidentiality and recognising that your manager may be called to hear an appeal against any decision you make. This is particularly important where there is an allegation of bullying or harassment. 
3. Know the rules: familiarise yourself with the company’s disciplinary policy 
4. Keep a log: maintain written records and documentation throughout. These will provide a clear record of events and enable you to seek advice from HR where appropriate. 
5. Attend relevant meetings, as directed by your HR adviser 
6. Be even handed and open minded: be careful to show no bias or discrimination during the disciplinary process 
7. Keep employee informed: work with HR to ensure the employee is informed at each stage of the disciplinary process  
8. Beware of boundaries: if the employee chooses to introduce a work colleague or union representative as a companion, you should not discuss the matter with them directly unless they have been authorised to do so by the employee.
9. Respect confidentiality: other members of your team may ask you questions about the employee, for example if they are suspended. Get advice from HR on the agreed reportable status. 
10. Be positive: Try to view the disciplinary process as an opportunity to improve your team member’s contribution at work. 

Relevant manager behaviours 

Working methodically by following procedures in line with instructions from your HR adviser fits with the desired behaviours of Being open, fair and consistent. These behaviours will help you work objectively and demonstrate fairness. Exercise 1 offers a route to developing these behaviours. 

There are a variety of reasons why an employee may have a work-related concern.  They may be concerned about an aspect of their terms and conditions of employment; a health and safety issue; a new working practice; or about treatment such as bullying or harassment from a member of staff, for example.

If they are sufficiently concerned, they may raise a grievance. 

In the first instance, you should attempt to deal with a grievance informally. That means talking to the employee concerned and understanding their issue and looking to identify a possible solution. 

If your team member raises a serious concern, listen to them, take notes and inform your HR adviser.  You may have to move to a formal process if the matter cannot be resolved informally or the employee is not satisfied with the outcome of the informal discussions, which means invoking the grievance procedure.

You will be guided by your company’s written grievance policy and procedure. This will outline the process by which grievances are dealt with – all employers should have one in place. Bullying and/or harassment may also be dealt with under separate policies and procedures so it is important to check this with HR.

The grievance may need to be investigated by a senior employee outside your team, particularly where you have been involved at the informal stage. As a direct manager, you may be asked to attend an investigation meeting and/or provide evidence which could include actions taken to resolve the matter informally. Once concluded, the employer will decide to uphold or reject the grievance. 

Where a grievance is upheld (ie the employer agrees with the grievance or part of the grievance), the person whose behaviour or actions are at the root of the grievance may find themselves subject to disciplinary procedures as a result.

But if the grievance is found to be vexatious (unjustified or deliberately trying to cause trouble for another employee) the employer may invoke the disciplinary process against the employee bringing it.

Where an employee is unable with the outcome of their grievance your company policy will allow a right of  appeal, usually to the next level of management.

1. Clarify the problem: Establish the facts as soon as possible. This means gathering information by listening to the person raising the grievance along with any one else named in the grievance in order to gain of full understanding of the situation. It is important to  all parties and engage with the detail
2. Get advice: ensure your HR adviser knows the situation and you understand and follow their instructions in line with the grievance procedures. Inform your line manager too where it is appropriate to do so, bearing in mind they may have to hear the grievance or an appeal.
3. Know the rules: Familiarise yourself with the company’s grievance policy
4. Keep a log: maintain written records and documentation throughout. These will provide a clear record of events as they are raised with you.
5. Attend relevant meetings: as directed by your HR adviser
6. Be even handed and open, listen to what is being said: Be careful to show no bias or discrimination during the process
7. Keep the employee informed: Work with HR to ensure the employee is informed at each stage of the grievance process
8. Be aware of boundaries: if the employee chooses to introduce a work colleague or union representative as a companion, you should not discuss the matter with them directly unless they are authorised to do so.
9. Respect confidentiality: other members of your team may ask you questions about the grievance. Get advice from HR on the agreed reportable status
10. Be positive: Try to view the grievance process as an opportunity to resolve a problem and improve your workplace. 

Dealing with the outcome of disciplinary action or a grievance may be difficult. 

Issues between - or complaints about - colleagues are not an easy thing to deal with in the workplace and there may be an unpleasant feeling between people who still have to work together. 

Your role as a manager is important in helping to ensure that such issues are dealt with in a sensitive and thoughtful manner and you should support colleagues to build relationships and work together going forward.

If an investigation has occurred, this can leave staff feeling uncomfortable about being witnesses and they may worry about how this may affect them in terms of how colleagues/you/their employer will view them in the future. 

You can reassure them that no employee should be treated any less favourably for having assisted in the process; in fact they are protected from any form of victimisation that is associated with their assistance and that you will take any allegations of this extremely seriously.

You can also explain that, ultimately, disciplinary and grievance policies aim to ensure that all employees in the workplace understand the expected behaviours towards each other, clients and customers.