Disciplinary meetings

Meetings where either disciplinary action or some form of action are contemplated against the employee, are referred to as disciplinary hearings.

It is essential that disciplinary hearings are handled effectively and conducted in a fair and systematic manner. This is because the purpose of a disciplinary hearing is not just to inform the employee of the offence and to establish whether or not someone is at fault, but to enable the employee to put forward their representations and where possible, enable an employee to improve.

Poorly conducted proceedings may result in unfair warnings or dismissal. This will undermine other employees' confidence. Also, if the organisation is found guilty of unfair dismissal at an Employment Tribunal, its public image may suffer and such claims can be very costly.

If after the disciplinary investigation, management decide that a disciplinary hearing is appropriate, then certain procedures should be followed.

These should be in accordance with the Acas Code of Practice on Disciplinary and Grievance Procedures.

Before the hearing

In advance of the hearing, the employee should be:

Informed in writing of the purpose of the hearing
Informed in writing of the alleged offence
Given copies of any supporting documents or statement(s)
Informed in writing of the potential penalty if the allegation is upheld

The employee should also be informed in writing of his/her right to be accompanied by a fellow worker or an official employed by a trade union of his/her choice. This is particularly important if dismissal is contemplated.

The employee must be given sufficient time to prepare for the hearing. At least three working days’ written notice would usually be appropriate.

The outcome of the hearing should never be pre-empted.

Attendees

If the facts of the allegations depend on statements from witnesses, those witnesses should attend, if possible, and repeat their evidence in the presence of the employee and his or her companion. Witnesses should leave the hearing once they have repeated their statements.

The hearing should be heard by a manager or panel with the authority to take suitable disciplinary action. This is especially important, in cases where the outcome may be dismissal. Where a panel is hearing the matter, it is sensible to appoint a chair.

Wherever possible, the chair of the disciplinary hearing should be independent of the investigation and should be, as far as is reasonably practicable, free of any possible bias. Ideally, any manager or trustee to whom an appeal may be made should not attend the hearing, though this may be difficult for small organisations.

At the hearing

The employee should be told of the facts that stand against them and given a full opportunity to respond.

The employee’s companion should also be allowed to address the hearing in order to:

Put the workers case
Sum up the workers case
Confer with the employee.

While it is good practice for the companion to be able to ask witnesses questions, they have no right to answer on behalf of the employee unless the employee gives them permission.

An accurate, unbiased account of the proceedings should be taken and kept. If possible, these should be signed by everyone present, as an accurate record.

In complex cases it may be appropriate for the investigator to be present to present their findings to the chair. The investigator, employee and management presiding over the hearing should also have the opportunity to ask questions of witnesses.

Once the employee has responded to the allegations and all matters have been fully discussed, the chair should adjourn to consider what action is appropriate.

The chair should then return and announce whether or not disciplinary action is to be taken and what it will be. Alternatively, the outcome of a disciplinary hearing can be given in writing.

No decision concerning disciplinary action should be taken until the hearing has concluded.

Before dismissing or taking disciplinary action short of dismissal, employers should ensure that the Acas ‘Discipline and Grievance Code of Practice’ is followed.

The employee must be advised of his/her right of appeal.

After the hearing

The employer should inform the employee in writing of their decision and notify them of the right to appeal against the decision. The organisation should keep careful records of all disciplinary proceedings, including an accurate record of the disciplinary hearing.