Disciplinary action

What is a disciplinary procedure?

A disciplinary procedure is the steps your employer takes to deal with disciplinary issues when they believe that your conduct is not up to the expected standard. This may involve something as simple as an informal chat, and can escalate to involve letters, investigations, meetings and appeals.

What is disciplinary action?

Disciplinary actions are the measures taken as a result of the disciplinary procedure. This will vary from case to case, and at its most severe can lead to dismissal.

Reasons for disciplinary action

If your employer believes your conduct is not up to the expected standard, this may result in your employer taking disciplinary action against you.

There are many reasons why your employer may choose to pursue a disciplinary procedure, but common causes include:

• repeated lateness to work;
• inappropriate behaviour;
• failure to follow your company’s workplace rules.

Stages of disciplinary procedure

Your employer should follow a set procedure to resolve the issue with you. Disciplinary processes vary depending on the employer so make sure you identify your employer’s procedure. This is likely to be set out in your contract, staff handbook or on your employer’s intranet. Below we have set out an example disciplinary procedure so you can understand what you might expect:

• An informal chat in private to identify whether disciplinary action is required.
• An investigation, where you and others may be interviewed.
• A letter from your employer setting out clearly the reason for the disciplinary action.
• A formal meeting to allow you to state your case.
• A formal letter explaining the result of the case.
• An invitation to appeal within a set time frame.

Most employers set out their own disciplinary procedures in writing. This may or may not form part of your contract of employment. 

You are entitled to be accompanied by a colleague or a UNISON rep at a disciplinary meeting.

Employment tribunals expect employers to make decisions on discipline and dismissal which are fair and reasonable. Tribunals are legally required to take the Acas Code of Practice on disciplinary and grievance procedures into account when considering relevant cases.

In Northern Ireland only, there remains a statutory dismissal and disciplinary procedure that employers must follow as a minimum if they are considering dismissing an employee or imposing certain kinds of penalty other than dismissal, such as suspension without pay or demotion. A failure to follow the statutory procedure will result in an automatically unfair dismissal. In summary, the statutory procedure in Northern Ireland involves the following three steps:

• A statement in writing of what the employee is alleged to have done wrong and what action the employer is contemplating.
• A meeting to discuss the situation and a decision.
• Offering the right of appeal.

The statutory procedure used in Northern Ireland is the minimum standard. Industrial tribunals in Northern Ireland also expect employers to make decisions on discipline and dismissal, which are fair and reasonable. A failure on the employee’s part to comply with the statutory disciplinary and dismissal procedure – for example, unreasonably failing to attend a meeting – could result in a reduction in compensation awarded by the tribunal if they win their case (up to 50%).

There may be some very limited cases where, despite the fact that an employer has dismissed an employee immediately without a meeting, an industrial tribunal in Northern Ireland will find the dismissal to be fair. These situations should still be subject to the Modified Statutory Disciplinary and Dismissal Procedure (still in use in Northern Ireland) that will arise where there is a dismissal without notice or payment in lieu of notice for gross misconduct at the time when the employer became aware of the misconduct or immediately thereafter and the employer believed that it was reasonable, in the circumstances, to dismiss before enquiring into the circumstances in which the misconduct took place.

In these very exceptional situations the modified procedure requires a written statement of the alleged misconduct which led to the dismissal; and written particulars of the employer’s basis for thinking at the time of the dismissal that the employee was guilty of the alleged misconduct; and a written confirmation of his/her right of appeal against the dismissal. Step two of this modified procedure is the appeal hearing.

If you have questions about a disciplinary procedure, contact your UNISON rep.

Appeal procedures

An appeal is your chance to challenge a disciplinary decision. This should be lodged within the period of time set by your employer for appealing the decision and be heard by a superior of the person who heard your original case.

You are entitled to be accompanied by a colleague or a UNISON rep in the appeal meeting.

Suspension from work

During the disciplinary procedure, employers may be able to suspend you, pending the result of the disciplinary meeting. This should be on full pay.

You retain your rights while on suspension and if you are not paid the correct amount, you may be able to claim against your employer for unlawful deduction of wages.

The specifics of each case depend on the details of employment contracts, but it is possible for an employer to suspend you without pay if they are entitled to do so under the terms of your contract of employment and the employer is acting in accordance with the terms of your contract of employment. This is very unusual.

If your employer suspends you without pay, contact your UNISON rep immediately and provide them with a copy of your contract of employment to review so that they can advise on next steps. 

Results of disciplinary action

The result of disciplinary action is not always dismissal. Formal warnings and dismissal are often viewed as a last resort, but your employer may also decide to monitor your performance or choose alternative solutions. They may also decide not to take further action. If you are unhappy with the result of a disciplinary decision, you should consider whether to appeal. Contact your local UNISON rep who can recommend your next steps. 

Legal disclaimer 

The information contained within this article is not a complete or final statement of the law and is based on the laws of England, Wales, Scotland and Northern Ireland. 

While UNISON has sought to ensure that the information is accurate and up to date, it is not responsible and will not be held liable for any inaccuracies and their consequences, including any loss arising from relying on this information. If you are a UNISON member with a legal problem, please contact your branch or region as soon as possible for advice, or for non-employment matters call UNISONdirect.