How to write a disciplinary hearing outcome letter

In last week’s article we looked at the considerations when making a decision after holding a disciplinary hearing and considering all of the evidence.

The next stage, which we discuss today, is confirming the decision in writing to the employee as per the ACAS Code of Practice (see www.acas.org.uk) which, you will recall, tribunals expect employers to follow.

Whereas the Code only specifically requires employers to confirm outcomes in writing where the employee is given a warning, clearly it is best practice to confirm all outcomes in writing including where no further action is to be taken, an informal warning is given, or there is a training requirement. 

The outcome letter

When writing the outcome letter the CIPD (see www.cipd.co.uk) advises employers to include the following as a minimum:

• The level of warning i.e. verbal, written or final written.
• An explanation of the nature of the employee’s misconduct or unsatisfactory performance, making it very clear what the organisation finds unacceptable.
• The specific changes or improvements in behaviour / performance that are required along with the timescales for improvement.
• The period of time the warning will remain ‘live’ on file before it becomes ‘spent’, as per the disciplinary policy.
• A clear statement of what will happen if there is further misconduct or insufficient improvement in performance, for example further disciplinary action or dismissal.
• The employee’s right to appeal against the warning, who they should appeal to, and within what timescale (again, as per the company’s disciplinary policy).

For the various CIPD recommended letter templates to issue confirming the outcome of a disciplinary hearing please see the 186hr Practical Guide to Disciplinary Action. The guide is a comprehensive document that includes all you will need in order to carry out disciplinary action fairly and professionally. It contains CIPD approved model policy documents, detailed explanations of each stage of the disciplinary process, CIPD approved model letters covering every eventuality of each stage, along with 2 hours of telephone-based consultation with a highly experienced, highly CIPD qualified senior HR professional. The guide is compliant with the ACAS Code of Practice and costs £249 plus vat. Click here for further details.

Alternatively, if you are not yet ready to purchase the full guide please click this link for our free article that gives a summary of The 10 Steps of Taking Disciplinary Action

More detailed letter

Although the above CIPD recommended letter will suffice on most occasions, there are times when a more comprehensive letter is needed, in which case the following should be included in the document:

• A summary of what has happened so far such as dates of the hearing meeting(s) and who was present.
• A summary of the allegations that were considered.
• The evidence that was considered in relation to each allegation.
• A summary of the individual’s explanations regarding each allegation, and of any evidence provided.
• Your judgement regarding each allegation and whether, on the balance of probability, it happened.
• Any mitigation that may mean you have issued a lesser outcome than would otherwise have been the case.
• Any other issues that affected the outcome such as any live warnings on file or a previously unblemished record. 
• The outcome.
• A clear explanation of future requirements re the standards of behaviour or levels of performance that are expected whilst in work.
• Clarification that if there is a repeat of this or any similar unacceptable behaviour in the future it will lead to further disciplinary action.
• Timescales and details of how to appeal if the individual does not agree with the outcome, including who to write to. Normally organisations allow the individual 7 calendar days to appeal from receipt of the letter. (Remember that the individual who will hear the appeal should, wherever possible, be more senior than the disciplining manager).

A CIPD approved version of this letter is also included in the 186hr guide.

Dismissal letter

Where the outcome of the disciplinary hearing is dismissal the following would apply regarding content of the letter:

• Clearly, there would be no need to explain future requirements regarding behaviour or performance in work.
• Practical details should be included such as whether notice will be paid, whether notice needs to be worked, and the final working day.
• Where relevant, the specific dates that the employee’s notice starts and ends. According to ACAS it should start the day after the individual receives their outcome letter. Therefore, if they are not in work to receive the letter personally it is important to send the letter either by email and / or recorded next day delivery so the date of receipt can be proven in case notice pay is disputed. 
• Pay arrangements including what salary, holiday pay and bonus if applicable will be paid, and when.
• Final admin arrangements such as when the individual will receive their P45.

The above 186hr Practical Guide to Disciplinary Action includes template dismissal letters and comes with 2 hours of telephone-based support that can be used to help with the outcome letter if that is your preference.

Delivering the letter then meeting with the employee

Once the outcome letter has been written, the disciplining manager should decide whether it is best to simply send it to the individual or meet with them and hand it to them personally. 

Although meeting personally often seems preferable it can lead to awkward silences while the individual reads the letter and then reacts when they are still a little emotional over the content. We therefore normally advise managers to email or post the letter and arrange a meeting soon afterwards to discuss the outcome and agree an action plan.

This approach allows the individual to read the letter, compose themselves, and then attend the meeting in a better frame of mind rather than being angry or emotional.

In the meeting, what is expected of the individual such as standards of behaviour, targets, training programmes etc should be clearly explained, and plans agreed. 

Disciplinary outcome letters available from 186hr

The following CIPD approved model letters confirming the various outcomes of disciplinary action are available either from 186hr directly or in the above practical guide: 

• Letter confirming what has been agreed following an informal discussion regarding minor misconduct.
• Letter confirming what has been agreed following an informal discussion regarding minor unsatisfactory performance.
• Letter following a disciplinary hearing informing the employee that a disciplinary penalty will not be imposed.
• Letter confirming that a disciplinary sanction other than a warning or dismissal will be imposed.
• Letter confirming that an employee has been given a formal verbal warning for misconduct.
• Letter confirming that an employee has been given a formal verbal warning for poor performance.
• Letter confirming the issuing of a formal or final written warning for conduct.
• Letter confirming the issuing of a formal or final written warning for poor performance.
• Letter setting out the reasons for an employee’s dismissal.
• Letter setting out the reasons for an employee’s gross misconduct dismissal. 

Next week in our final post on the disciplinary process we will look at the appeals procedure.

We hope this article has been of use. If you would like to discuss disciplinary action, or any other HR issues, further, please contact us.