Before the meeting
1 Has the employee been notified in writing of the:
1.1 time, date and venue for the meeting;
1.2 right to be accompanied by a fellow employee or trade union rep at the meeting;
1.3 full details of the case against them;
1.4 possible consequences of the allegations made (i.e. the potential disciplinary action – if the allegations are very serious and dismissal is a possible outcome of the hearing this should be spelt out)?
2 Have copies of any relevant written evidence, including witness statements taken during any previous investigation been provided to the employee? If the employee is disabled, have these been provided in an accessible format?
3 Does the employee need any special adjustments made to enable them to participate in the meeting? (e.g. a reader for a dyslexic employee, an interpreter for an employee where English is not their first language) If so, have these been actioned? Is the venue physically accessible for the employee?
4 Has the employee confirmed their attendance at the meeting and the names of any companion or witness(es) they intend to call?
At the meeting
5 Confirm that this is a disciplinary meeting held under the company’s formal disciplinary procedure.
6 Introduce those present at the meeting and explain their roles (e.g. to chair the meeting, take a note, to go through certain evidence).
7 If a companion is present, it may be appropriate to say a few words about their role. They are allowed to address the disciplinary hearing, which includes putting the employee's case, summing up, and responding on their behalf to any view expressed at the hearing, and to confer with the employee during the hearing. However, they are not allowed to answer questions on the employee’s behalf.
8 Check that the employee understands the applicable disciplinary procedure and the purpose of the hearing and has received copies of any documentation that will be referred to during the hearing. If the employee is disabled, check whether any other reasonable adjustments are required.
9 Explain the details of the complaint/allegations against the employee.
10 Go through all the supporting evidence which has been gathered, including, if relevant allowing relevant witnesses to give their evidence on behalf of the company1 (e.g. the manager who conducted the investigation).
11 Allow the employee to set out their case and answer the allegations made.
12 The employee should be given the opportunity to ask questions, present their own evidence (including calling witnesses if relevant) and raise points about the company’s evidence.2
13 Once the employee has presented their case, the manager leading the meeting should briefly summarise the information put forward by both parties and ask the employee whether they wish to make any additional comments or ask any further questions.
14 If the employee produces new evidence or raises new issues during the meeting it may be necessary to adjourn the meeting to investigate further. If there is any further investigation, the employee should then be given the chance to respond to the findings at a reconvened hearing.
15 If the employee admits the allegations, they should be asked if there are any mitigating factors they wish to be taken into account.
16 At the end of the disciplinary hearing, it is good practice to adjourn to properly consider the outcome and any sanction to be imposed. This ensures that proper consideration is given to the matters discussed at the hearing and that the employee can see that they have been treated fairly and reasonably - avoiding any suggestion of a predetermined outcome.
17 The length of the adjournment will depend on the complexity of the issues to be considered and whether further investigation is needed. The employee should be given an indication of how long it is likely to be before the hearing is reconvened or the decision communicated. Any delay at this stage should be kept to a minimum.
After the hearing: consideration of the issue
18 Is there any new evidence that was produced or anything the employee said at the meeting which needs to be investigated further? If so, adjourn your considerations until this is complete. It may be that the disciplinary hearing should be reconvened to allow the employee to respond to any new information obtained as a result of any further investigation.
19 If the employee did not admit the allegations, do you believe that they committed the act of misconduct in question?
20 If so, what evidence is there which supports this interpretation of events?
21 Other than the employee’s word, is there any evidence which contradicts this interpretation?
22 If you believe that the employee committed the misconduct are there any mitigating circumstances that you need to take into account? (e.g. anything said by the employee at the meeting to explain why they acted as they did, personal problems, long-service, previously clean disciplinary record).
23 Are there any aggravating factors? (e.g. current warning in place for similar or other disciplinary offence).
24 Have there been similar issues of misconduct, if so, is the company taking a consistent approach?
25 Do you think it is appropriate to impose a formal disciplinary penalty in this case?
26 If so, check your proposal with Human Resources.
Communicating the decision
27 Inform the employee in writing of the:
27.1 findings in relation to the/each allegation(s);
27.2 company’s decision in respect of the/each allegation(s);
27.3 the reason(s) for the decision;
27.4 the action (if any) that the company intends to take;
27.5 depending on the action to be taken other administrative details (see below);
27.6 the right of appeal against the decision and to whom an appeal must be submitted;
27.7 timescale for submitting an appeal.
28 If the employee is to be given a warning they should also be informed in writing of the following information:
28.1 whether this is a first or final warning;
28.2 the nature of the misconduct or poor performance;
28.3 the change in behaviour or improvement in performance required (with timescale);
28.4 how long the warning will remain current;
28.5 the consequences of further misconduct or failure to improve performance within the timescale (i.e. where this is a final warning, dismissal).
29 If the employee is to be dismissed they should also be informed in writing of the following information:
29.1 the reasons for the dismissal;
29.2 if relevant, the period of notice or payment in lieu;
29.3 the date on which the employment contract will end.
1 It is not necessary, or always desirable to have people give evidence personally. Alternatively a written witness statement could be used.
2 This does NOT extend to allowing the employee to cross-examine any company witnesses.