Disciplinary proceedings should conform with employment legislation, but they may also be governed by less formal codes of practice where these exist. For example, there may be a conciliation or arbitration service that promulgates such codes.
Disciplinary proceedings may vary from country to country. They will define the action to be taken by whom; they will also allow individuals to be informed of the complaints against them, giving them an opportunity to state their cases. Punishment should be proportionate and fair...
Procedures should also ensure that, except for gross misconduct, employees are not dismissed for a first breach of discipline, that disciplinary action is not taken until the case has been carefully investigated and individuals are given an explanation for any penalties imposed. A right of appeal should also be specified.
Disciplinary proceedings may have serious consequences. It is important that from the outset a full record of the events which resulted in proceedings should be kept. In many cases, it should be possible to identify failings at an early stage and take remedial measures, which may include some sort of penalty, including demotion.
Electronic records management
A full record of disciplinary proceedings should be kept until there is no possibility of further appeals. There may be a statutory period of limitation.
A record of disciplinary procedures should be placed on the employee’s personnel file. It should include a date at which, subject to satisfactory performance, it will be expunged from the record.
If staff are demoted, the relevant central authorities should be informed. If staff are dismissed, the staff list should be amended and the central authority informed. There can be cases where pension benefits are forfeited; in such cases the relevant authorities should be informed.