How to resolve potential disciplinary issues informally

Author: Lisa Poole

Summary

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• Consider whether or not using the informal process is appropriate, bearing in mind the seriousness of the issue.
• Be consistent in using an informal approach to deal with disciplinary matters, to avoid claims of discrimination or procedural unfairness.
• Hold a meeting with the employee to discuss informally concerns about their conduct or performance.
• Remember that the purpose of the meeting is to address issues of concern and to put in place plans for the employee to improve.
• Ensure that the employee understands the reason for the meeting and provide any evidence that supports the allegations.
• Make the employee aware that, if the misconduct or poor performance recurs, formal action may be taken.
• Remember to hold a review meeting, even if the employee has sufficiently improved, so that the process can be concluded.
• Make an accurate record of the meeting and of any action plan for improvement that results from the discussion.
• Be aware of the importance of keeping the process informal, with no formal outcome.
• Ensure that the employee is not denied their rights if formal action becomes necessary, for example the right to be accompanied at a meeting.
• Be aware that, if informal attempts to obtain an improvement are unsuccessful, the formal disciplinary procedure is the next step.