I hope that none of this will ever apply to you however, there may be times when some of you may face disciplinary issues at work. This can be quite a stressful and worrying time which is why I’ve compiled this guide to help you through the process and remind you of what your rights are.
What is a disciplinary matter?
A disciplinary matter is an action taken by an employer to address poor performance or behaviour from an employee. Companies will have policies and procedures in place to handle any disciplinary matters however there are also laws setting out what rights employees have.
Employers will usually try to resolve any issues informally first. This could be done by discussing the matter with you privately in an informal setting or offering some training and support.
Why would my employer take this course of action?
An employer may start disciplinary proceedings for many reasons. Below are some of the most common reasons for disciplinary action:
- Misconduct
- Poor performance
- Health and safety
- Bullying or harassment
- Theft
Letter of Concern
Minor issues may be dealt with by issuing you with a Letter of Concern. This is a formal letter from your employer informing you that your performance or conduct is cause for concern.
As this is classed as an informal warning it probably will not appear on your disciplinary record. However if your performance does not improve or any further disciplinary matters arise, your employer is likely to use it against you.
Investigation Meeting
When a disciplinary matter arises, the person dealing with this should, first of all, investigate the issue. They will speak to everyone involved including the employee and gather any other evidence.
They may need to hold an investigation meeting in which they will gather information and ask questions of those involved. The purpose of the meeting is to find out exactly what has happened and establish the facts.
Unlike disciplinary hearings, employees do not automatically have the right to be accompanied at investigation meetings however some organisations may still allow this.
Disciplinary hearing
After an investigation, the organisation may decide there is a need to take disciplinary action against an employee and will invite them to attend a disciplinary hearing.
Your employer must provide you with a letter explaining that they are inviting you to attend a disciplinary hearing and why, the date, time and location of this hearing. It should take place during your normal working hours and take place in a private setting i.e meeting room or private office. They should also outline any evidence they have as a result of investigations into the issue in question and any other points that will be discussed.
The employer may also explain what course of action may be taken as a result.
Remember you are entitled to ten days notice of the date of the hearing.
Can I take someone with me?
You are entitled to have a colleague or a Trade Union representative attend a disciplinary hearing with you and your employer should inform you of this right. This person can speak on your behalf and ask the panel questions if you are happy for them to do so. You may prefer them to simply take notes for you or act as an observer. However, this person cannot answer questions for you.
If you ask a colleague to accompany you at the disciplinary hearing your employer cannot discipline them or penalise them in any way for doing so.
There is no legal obligation on an employer to allow anyone else to attend the hearing although some employers may be happy for you to bring someone else such as a friend or other family member. If you are under 18 some employers may allow your parent/carer to attend.
How to prepare
Consider the reasons why your employer is inviting you to a disciplinary hearing and any evidence they have. You should make a list of points you may wish to raise or write out a statement that you will make during the hearing.
Next, you should gather any of your own evidence you would like to put forward i.e medical letters, copies of any emails or texts or employee training records. You may also wish to consider if there is anyone who could support your case that can ask to attend as a witness. However, you should always ask them if they are willing to do so first and remember you cannot force someone to be a witness.
You must also decide if you would like someone to attend the hearing with you. Check with your employer to see what their policy is regarding who can accompany employees at disciplinary hearings. Remember they are only legally obliged to allow a colleague or Trade Union representative to attend and it is down to individual companies if they will permit anyone else to attend. If you are allowed, think about whether you would like to ask a friend or family member to attend with you.
During the meeting
The people who host the disciplinary hearing are commonly referred to as the panel. The panel should not be involved in the issues being discussed neither should they have been part of the investigation. Someone should also be there to take notes. The panel should explain your alleged misconduct or performance issue and discuss any evidence they have including any witnesses.
You should be permitted to respond to the allegations against you, ask questions or present any evidence that you have. You can also call your own witnesses if you have any.
If you become upset, angry or overwhelmed you should ask if you can take a small break.
Outcomes
Your employer should inform you in writing what action will be taken as a result of the disciplinary hearing. Some possible actions may be:
- No action. The panel may decide that nothing needs to happen.
- Warning. These can be verbal or written and will explain why it has been issued, what needs to change, what will happen if your performance or conduct does not improve and how long the warning will be in place for. Some warnings may only be for a set limit of time i.e 1 year or 2 years before they are removed from your record.
- Final Warning. Similar to a warning however if your conduct or performance does not improve the next step will be dismissal.
- Demotion. This is when you are allowed to stay with the company but you will be moved to a lower position.
- Dismissal. When your employment with the company is brought to an end. This is usually only used as a last resort or in the most serious cases.
Appeals
If you are unhappy with the outcome you are allowed to appeal. Your company will have their own policies on dealing with appeals however it should be handled by another employee who has not previously been involved in the case.
