When an employee’s performance or conduct is a problem, or if they’ve violated company policy, employers may seek disciplinary action. This can be a formal or informal process and could range from a relaxed chat or a written warning. In instances of gross misconduct, employers might opt for dismissal. The reasons for employers taking disciplinary actions varies, but common examples include expected standards not being met, inappropriate behaviour, poor attendance and lateness, breaching health & safety protocols, and abusing substances at work. Generally, the stages of disciplinary action will begin with an informal discussion to see if the matter can be resolved. However, failing that, an investigation will be conducted, there will be a formal hearing, and then there will be an action—this might be a verbal or written warning, suspension, demotion or dismissal. It’s important employers ensure that the process is fair and consistent, and that employees are made aware they a right to appeal.
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What is disciplinary action?
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If your business finds itself in the situation where it has to hold a disciplinary hearing, then you’ll need to hold an investigation prior to that. It’s an essential part of the process.
In this guide, we’ll look at the rules on verbal warnings, using formal, and informal warnings; and the how to stay on the right side of the law legal rules when actioning one against an employee.
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Businesses often work hard to ensure their employees work effectively in the workplace. But sometimes an employee’s behaviour can interfere with this.
This may include affecting their working habits or disrupting an entire workplace, reducing productivity or even profits.
Mishandling a disciplinary action after the correct procedure can result in employment tribunals and create further problems for employees.
In this guide, we’ll explain what a disciplinary action is, what the process is and how many stages of actions there are.
What is disciplinary action?
Disciplinary actions are measures that are taken at work in response to unwanted conduct by employees.
The disciplinary process is governed by the ACAS Code of Practice, which sets out the steps to be followed to deal with conduct issues fairly.
Employers should have a disciplinary policy that outlines these steps. It will also define the disciplinary action meaning for the organisation and give examples of actions that may result in disciplinary action.
The disciplinary process is a clear procedure that enables employers to address the issue of in the workplace.
What are the four levels of disciplinary actions?
The ACAS code sets out the different levels of disciplinary action that may be taken. This should be in the policy, so that employees are aware of the potential consequences of their actions.
When undertaking a disciplinary process, it is crucial that the possible outcome of said process is laid out. This is to ensure the employee understands the seriousness of the matter.
The 4 levels of outcome are as follows:
(alternatively, this can be an informal stage without a full disciplinary hearing).
.
Final written warning.
Dismissal / dismissal for .
Is there a time limit for disciplinary actions?
Strictly speaking, no. However, employers are required to act reasonably.
It’s unlikely that an act that took place some time ago would be appropriate for disciplinary action. This is unless it was very serious and concealed from the employer.
Additionally, to avoid unfair disciplinary action at work employers must ensure a fair and thorough investigation takes place.
The older the matter the more difficult this will be, as memories fade and evidence may be destroyed.
Are disciplinary actions confidential?
Under data protection laws, the details of a disciplinary would be considered personal information, and therefore they should not be disclosed to others.
Even those involved may not need to know all the details of the case in order to properly contribute.
For example, witnesses do not need to be told who else has been spoken to.
How to appeal a disciplinary action
It is an essential part of any disciplinary process that there is a right of appeal.
The process to do this should be in the relevant policy. Your employee should submit in writing to you why they think the decision was wrong.
A hearing should then take place where the appeal can be discussed, and a final outcome given.
FAQs: What is disciplinary action?
Can employers skip the formal process for minor issues?
It's recommended to try and resolve small grievances informally and internally.
When should employers suspend employees?
If possible, suspension should be avoided and only used as a last resort. It is however appropriate to use this measure when investigating serious misconduct, removing a threat to the business, or when stopping an employee interfering with evidence and influencing witnesses. In most cases, suspension will be with full pay.
Do employers have to follow the Acas Code of Practice?
Employers aren’t legally required to follow the Acas Code of Practice on Disciplinary and Grievance Procedures. However, straying away from this framework carries a major risk.
Can one manager oversee the whole process?
It's best to avoid this if possible. For fairness and objectivity, try to have separate roles for the investigator, hearing chair, and appeal manager.
What if an employee refuses to attend the hearing?
If the employee has a legitimate reason not to attend like illness, employers should try to reschedule the hearing at least once. Should they fail to attend multiple times without good reason, then employers can continue without them.
Get expert advice on managing disciplinary actions with Peninsula
Disciplinary actions may be necessary to maintain the standards in the workplace. Initially, you should try to sort out the issue informally before following the correct procedure further.
If a disciplinary action is mishandled, then you could face employment tribunal claims. This could create further problems for your business’ reputation and workforce’s morale.
Peninsula offers expert guidance on disciplinary actions. Our clients get access to 24-hour HR advice helping them manage regulations effectively.
Get in touch today; or use our callback form to arrange for us to get in touch at a time that is convenient for you. Call us on 0800 051 3685
Guide
Peninsula GroupHR and Health & Safety Experts
Guide