Getting started with disciplinary records

Inserting a new record of a formal warning is a simple process – against the employee, select a date in the relevant column (formal, written, or final written warning) then click the corresponding ‘Submit' on the right.

Additional documentation can be supplied to support a warning record. Follow the ‘Upload document' link underneath a record and you will be given the opportunity to upload a file and give it a title.

Following an upload, the record of that employee will be highlighted for you.

Warnings may be kept on the system as long as you want them. To remove them from view they can be archived. Any warning record can be archived by following the relevant Archive this warning link.

Using the Archive tab, the archived warnings from the selected year will be shown.

A warning can be deleted at any point, from the Disciplinary records or Archive tabs. Following the Delete this warning link below a record will perform the operation, with you confirming the action. Once deleted, the record and any associated documentation will be permanently removed from the system.

The Disciplinary Report tab provides a year by year report of warnings issued.

The report shown can be manipulated in external programs using the Export to Excel link.

Each type of formal warning has an expiry period which can be configured for your organisation. The current expiry periods are shown at the top of the Disciplinary records and Archive tabs.

An expired warning will be shown as such:

Note – Controllers can set the expiry periods by going to Config > System > Disciplinary information.

1. Any warning you upload here, and any documents you upload in relation to the warning, will be seen by the employee and any of the employee’s Managers. Do not upload anything here that you do not wish the employee or other Managers to see.
2. Please note that a formal warning is one where the correct procedure has been followed. If you have not followed the correct procedure, do not record the warning here, and take advice from your HR adviser.
3. Please note that under data protection principles, you should not keep a record of the expired warnings for too long. Consider with your HR advisers an appropriate length of time for such storage, and then audit on an annual basis. For instance, you might consider that holding on to an expired warning for one year after expiry was appropriate – or you may consider a longer or shorter period appropriate. If in doubt, please take advice.

The foreword to the ACAS Code of Practice on disciplinary and grievance procedures recommends that employers keep a written record of any disciplinary or grievances they deal with. Records should include:

• The complaint against the employee.
• The employee’s defence.
• The findings made and actions taken.
• Whether an appeal was lodged.
• The outcome of the appeal.
• Any grievances raised during the disciplinary procedure.
• Subsequent developments.
• Notes of any formal hearing.

Records should be treated as confidential and be kept no longer than necessary in accordance with the GDPR.