Discipline: Overview

Disciplinary procedures ensure compliance with an organisation's code of conduct.

They set out what is acceptable and unacceptable behaviour for employees, how unacceptable behaviour will be managed and addressed and who is responsible for carrying out the disciplinary procedures.

Disciplinary procedures can also be used to manage and address performance concerns although it is recommended that organisations have a separate capability procedure for this.

Problems when standards are not met by employees may often be dealt with informally, but if a formal approach is needed, employers are expected to follow a fair, clear and transparent process, in accordance with the Acas Code of Practice on Disciplinary and Grievance Procedures.

Disciplinary rules and procedures help to:

• Promote good employee relations
• Ensure fairness and consistency in the treatment of individuals
• Protect the organisation from claims of unfair dismissal

Standard procedures

The Employment Act 2002 (Dispute Resolution) Regulations 2004 set out a standard (three-step) procedure for handling discipline and dismissal. However, on 6 April 2009, these statutory dispute resolution procedures were repealed in their entirety when the provisions of the Employment Act 2008 were implemented.  As a result, a new Code of Practice on Disciplinary and Grievance procedures issued by Acas came into force.  Employment Tribunals now refer to this code to determine whether or not a fair process has been followed.

The code applies to any disciplinary or grievance situation but particularly where disciplinary action may result in dismissal or action just short of dismissal (such as demotion, transfer or loss of pay).

Compliance

Failure to follow procedures in line with the Acas code is likely to result in a dismissal being unfair. If the employee has more than 1 year’s continuous employment, then he or she will be able to bring an unfair dismissal claim to an Employment Tribunal.

In addition, failure to follow a fair process in line with the code may result in increased compensation.

Communication

It is a legal requirement that organisations give employees a written statement of disciplinary and grievance procedures.
All employees should receive a copy of the rules regarding conduct and the consequent disciplinary procedures for breaking them, when they join the organisation.

Copies of this document must be available to employees at all times. This information can either be communicated in the employee’s contract, his or her terms and conditions or some other written statement.  Most organisations will include the procedures within a staff handbook.

Further information

Further guidance can be found by clicking on the topic headings below and in the Acas Code of Practice on Disciplinary and Grievance Procedures.

Other useful external links:

Business Link
Directgov

Reviewed and updated by the HR Services Partnership – April 2010.

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