IDS Study 859, December 2007

Disciplinary procedures

• Outlines the principles that underpin disciplinary procedures

• Defines the types of misconduct covered in employers’ policies

• Explains how to investigate allegations of misconduct and run disciplinary hearings

• Looks at the sanctions available to employers and the appeals process

• Summarises the current legal situation and the Acas code of practice

• Draws on research from the procedures in place at 50 organisations

Disciplinary procedures are as much about preventing problems arising or nipping them in the bud as they are about dealing with misconduct. They aim to encourage good behaviour, honesty and a high standard of work. But when employees step out of line, employers have to act quickly to protect their good name, the efficiency of the business and the rights and safety of other workers.

For first and minor offences, employers may choose to deal with misconduct informally, perhaps through counselling or training. But employees are made aware that any further misconduct will almost certainly lead to formal disciplinary action being taken.

Disciplinary procedures allow for severe sanctions to be taken for persistent or serious offenders. Employers can withhold pay increments, demote or suspend employees. Ultimately, they can dismiss employees if their conduct fails to improve, and, in cases of gross misconduct, sack them on the spot.

Currently, employers’ disciplinary procedures follow the Employment Act 2002 (EA) and Employment Act 2002 (Dispute Resolution) Regulations 2004. However, in response to widespread dissatisfaction with the way the dispute resolution procedures are working, the Government is considering new legislation.