Keeping and monitoring records

Reps should keep a record of penalties imposed on employees. Ideally, the record should include:

• names of panel members and witnesses;

• factual findings;

• summary of employee’s defence;

• decision reached;

• reasons (including reasons for taking no action, or for choosing a lesser sanction);

• mitigation arguments, and employer’s response;

• appeal grounds;

• appeal decision, with reasons;

• whether the case raised broader issues about adequacy of procedures, training, workload etc, and how these issues are to be carried forward; and

• what happened to the employee after the disciplinary action — for example, did it impact on promotion prospects, did s/he leave the organisation shortly afterwards, and so on.

The employer should provide copies of meeting records. If the employer is resistant or slow in complying, they can be reminded that under section 7 of the Data Protection Act 1998, any employee can access all information that is about them, or refers to them.

A good disciplinary procedure will guarantee that workplace reps have access to records in sufficient detail to show the grade, gender, race, age, and so on of any workers who have been subjected to a disciplinary procedure, regardless of whether or not they have sought union representation. This kind of data (anonymised, if necessary) can indicate whether, at an individual level, any proposed sanction is too harsh and whether, at an organisational level there are patterns of discrimination. This might include if black workers are receiving more serious penalties than white workers for similar offences, or what happens to workers who, for example, complain of discrimination or point out safety concerns.