Conducting a Successful Disciplinary Hearing (UK)

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Also note: This is not legal advice.

Introduction

Conducting a successful disciplinary hearing is integral to any workplace disciplinary system, and of paramount importance for ensuring fair and just outcomes. A disciplinary hearing is an impartial forum where employers and employees can both voice their sides of the story, present evidence to support their case, and ultimately determine if an employee has committed an offence or breached workplace policies or laws - with the potential for warnings or even dismissal as a result.

From the employer’s perspective, disciplinary hearings help to ensure that such actions are taken in a fair manner on all sides. It also allows employers to address grievances, preventing further breaches of policies in the future; not to mention protecting their reputation should they show themselves to be treating employees fairly. This can lead to reduced staff turnover rates and increased recruitment opportunities from those looking for employers who handle such matters properly.

Financially too there are benefits; as when employees feel that they’ve been treated fairly, it increases loyalty towards their employer. This could result in higher productivity levels which could in turn boost profits overall.

At Genie AI we understand the complex nature of these proceedings better than most - founded in 2017 we have become ‘the world’s largest open source legal template library’ through millions of datapoints teaching our AI what a market-standard disciplinary hearing looks like – allowing anyone access to high quality legal documents without having to pay exorbitant lawyer fees. With full guidance available on how best to carry out a successful hearing process (including customised templates), you can rest assured that you’ll always have the tools at hand that you need for your next proceeding - no matter how small or large!
So why wait? Read on below for our step-by-step guidance and start accessing our community template library today!

Definitions (feel free to skip)

Disciplinary Hearing: A formal meeting between an employer and an employee to discuss any misconduct or other disciplinary issues.
Collecting Relevant Documents: Gathering any documents that may be related to the case, such as emails, memos, reports, or evidence that could support the case.
Preparing Questions: Writing out a list of questions that will be asked to the employee during the disciplinary hearing.
Agreeing on Who Should be Present: Deciding which people should attend the meeting, such as the employee, representatives from the employee’s union, witnesses, and other relevant parties.
Establishing Facts: Investigating the situation to collect evidence and question witnesses and the employee.
Explaining Case: Allowing the employee to explain their case and present any relevant evidence.
Investigating Mitigating Circumstances: Looking into any factors that may have caused the employee’s actions, such as mental health issues, personal problems, or other relevant factors.
Ensuring Fairness: Making sure the disciplinary hearing is conducted in a fair and impartial manner, treating everyone with respect and giving them the chance to present their case.
Delivering Decision: Announcing the disciplinary decision after examining all evidence and taking all testimony into consideration.
Documenting Outcome: Recording the decision, any actions taken, and any information gathered during the hearing.
Explaining Right to Appeal: Informing the employee of their right to appeal the decision and providing them with details about the appeals process.
Ensuring Understanding: Making sure the employee understands the disciplinary process, applicable laws, and their right to appeal.
Following Up: Checking in with the employee after the hearing to make sure the disciplinary decision is being followed.
Establishing Appropriate Action: Determining the appropriate disciplinary action for the employee, such as a warning or suspension.
Clarifying Outcome: Explaining the outcome of the hearing to the employee, including the disciplinary decision and any actions taken.
Monitoring Outcome: Keeping track of the outcome of the hearing by checking in with the employee and providing feedback.
Providing Feedback: Giving opinions on the disciplinary process, including the steps taken during the hearing, applicable laws, and any changes that can be made to improve the process in the future.

Contents

• Preparing for the disciplinary hearing
• Collecting all relevant documents
• Preparing questions to be asked
• Agreeing on who should be present
• Establishing the facts
• Allowing the employee to explain their case
• Investigating any mitigating circumstances
• Ensuring the hearing is fair and impartial
• Delivering the disciplinary decision
• Documenting the outcome
• Explaining the right to appeal
• Ensuring the employee understands their rights
• Following up on the decision
• Establishing the appropriate disciplinary action
• Clarifying the outcome of the hearing
• Providing details of the appeals process
• Ensuring any required action is taken
• Monitoring the outcome of the hearing
• Providing feedback on the disciplinary process

Get started

Preparing for the disciplinary hearing

• Ensure the disciplinary hearing has been appropriately scheduled, with enough time allocated to discuss any relevant matters
• Make sure the employee has been notified of the hearing and has been given the required information and documents
• Ensure the person conducting the hearing has the necessary authority and skills to do so
• Make sure the employee has had access to a full set of the disciplinary rules and procedures
• Gather any relevant documents, such as those detailing the accusation and the employee’s response
• Establish whether the employee has requested a companion to attend the hearing
• Prepare any questions you may need to ask the employee during the hearing

You will know you can check this step off your list and move on to the next step when you have gathered all relevant documents and have ensured the disciplinary hearing has been properly scheduled with enough time allocated for discussion.

Collecting all relevant documents

• Gather all documents related to the complaint, including any reports, emails, notes, and other evidence
• Ask the employee to bring any documents relevant to their defense
• Make sure all evidence is collected, reviewed, and signed off by the appropriate personnel
• Once all documents are collected and reviewed, you’ll know you can move on to the next step in the disciplinary hearing process.

Preparing questions to be asked

• Develop a list of questions to ask the employee during the disciplinary hearing.
• Consider the facts and evidence available, the disciplinary policy, and the alleged misconduct.
• Focus on facts, not opinions, and avoid leading questions.
• The questions should be designed to allow the employee to explain their account of events, and provide an opportunity to ask for clarification if needed.
• When the list is complete, review it to ensure the questions are relevant and legally compliant.
• Once you have developed the list of questions, you can check this off your list and move on to the next step.

Agreeing on who should be present

• Invite the employee, the employee’s representative (if they have one) and the manager or appropriate representative from the employer
• Consider whether a union representative should be present, depending on the case
• Decide who should chair the hearing
• Make sure all parties have received the relevant documents and have had the necessary time to prepare
• You’ve completed this step when everyone has been invited and has accepted the invitation, and all necessary documents have been sent.

Establishing the facts

• Gather evidence, including witness statements and any other relevant documents
• Ask the employee to explain their side of the story
• Take notes and ask relevant questions to help you understand the situation
• Ask the employee if they accept the facts as presented
• Once the facts are established, you can move on to the next step
• You will know you have completed this step when you have established the facts and the employee has accepted them.

Allowing the employee to explain their case

• Ensure that the employee is given the opportunity to explain their case, their version of events, and any mitigating circumstances that may be relevant
• Ask questions to clarify the employee’s account, and take notes of any important points
• Encourage the employee to provide relevant evidence to help explain their case
• Allow the employee to call any witnesses they may have
• Ensure that the employee is given a fair chance to present their case in full
• Check that the employee has been able to explain their case and that all relevant points have been discussed
• When the employee has finished presenting their case, thank them for their contribution
• Once the employee has finished presenting their case, you can check this off your list and move on to the next step of investigating any mitigating circumstances.

Investigating any mitigating circumstances

• Ask the employee to provide any evidence that demonstrates any mitigating circumstances that may have led to the situation in question.
• Consider any medical or personal issues that the employee may have been facing and how they may have contributed to the situation.
• Review any relevant documents that may indicate a mitigating circumstance.
• Ask any relevant witnesses if they can provide any evidence demonstrating a mitigating circumstance.
• Ask the employee if they have any further mitigating evidence that can be taken into account.

Once you have reviewed all the evidence and taken into account any mitigating circumstances, you can move onto the next step: Ensuring the hearing is fair and impartial.

Ensuring the hearing is fair and impartial

• Ensure that you and any witnesses who will be present have not been involved in the case in any way
• Choose an impartial chairperson to lead the hearing
• Ensure the accused employee has been provided with all the relevant documents and evidence in advance of the hearing
• Provide the accused employee with an opportunity to respond to the allegations and to ask questions of the witnesses
• Allow the accused employee to bring a work colleague or trade union representative with them to the hearing, if they wish
• When you have finished gathering all the evidence, check that you have a complete and accurate record of the hearing
• When you are satisfied that you have all the relevant evidence, you can move on to the next step: delivering the disciplinary decision.

Delivering the disciplinary decision

• Provide a clear, concise explanation of the decision reached, including the disciplinary action to be taken
• Give the employee a copy of the disciplinary decision letter
• Ensure the employee understands the decision and the implications
• Invite the employee to ask questions or raise any issues
• Inform the employee of their right to appeal against the decision
• Check with the employee that they understand the decision
• Sign and date the disciplinary decision letter
• You can check this off your list when you have given the employee a copy of the disciplinary decision letter.

Documenting the outcome

• Take detailed notes of the hearing for record keeping purposes
• Record the final decision made and any associated actions
• Make sure to keep a copy of all documents relating to the hearing
• Send a written confirmation of the disciplinary decision and the right to appeal to the employee

Once you have taken detailed notes of the hearing and recorded the final decision and any associated actions, you have completed this step and can move on to the next step of explaining the right to appeal.

Explaining the right to appeal

• Clearly explain to the employee their right to appeal the decision made and the outcome of the disciplinary hearing.
• Make sure to note down the details of the right to appeal information you gave to the employee.
• Provide the employee with a written statement of their right to appeal and the timeframe for submitting an appeal.
• Ensure the employee understands their right to appeal and the process for submitting an appeal.
• Ask the employee to sign and date the written statement of their right to appeal to confirm they have been given the information.

How you’ll know when you can check this off your list and move on to the next step:

• Once you have explained the employee’s right to appeal and the process for submitting an appeal, and the employee has signed and dated the written statement of their right to appeal, you can move on to the next step.

Ensuring the employee understands their rights

• Explain to the employee that they have the right to be accompanied by a work colleague or trade union representative when attending the hearing.
• Ask the employee if they would like to bring someone with them.
• Provide the employee with relevant information and documents in advance, such as the allegations being made and any supporting evidence.
• Inform the employee that they can ask questions and raise points during the hearing.
• Make sure the employee has had adequate time to consider the allegations and any evidence available.
• Check that the employee understands all of their rights before the hearing, and answer any questions they may have.

Once you have ensured the employee understands their rights, you can check this off your list and move on to the next step of following up on the decision.

Following up on the decision

• Send a written record of the disciplinary hearing and its outcome to the employee, confirming the decision and any disciplinary action
• Note any appeal rights and the timescale for submitting an appeal
• Ensure the employee receives a copy of the documentation
• Monitor the employee’s progress in the workplace to make sure they are following the disciplinary action
• When the employee has been compliant with the disciplinary action, you can check this off your list and move on to the next step of establishing the appropriate disciplinary action.

Establishing the appropriate disciplinary action

• Consult the company’s disciplinary policy to determine the appropriate disciplinary action
• Consider the severity of the offence, the employee’s work history, and any mitigating factors
• Consider the potential impact of the disciplinary action on the employee
• Discuss the possible disciplinary action with HR, or another appropriate manager
• Keep a record of the decision and the reasons behind it
• Once the appropriate disciplinary action has been established, you can move on to the next step.

Clarifying the outcome of the hearing

• Explain to the employee what the outcome of the disciplinary hearing is and the reasons behind it
• Give the employee the opportunity to ask questions and discuss the outcome
• Provide the employee with written confirmation of the outcome and the reasons for it
• Inform the employee of their right to appeal the decision
• Ensure the employee is made aware of the timescales and procedures for the appeal process
• Record the outcome and the reasons for it on the disciplinary record
• When the employee has been informed of the outcome and their right to appeal, the step is complete.

Providing details of the appeals process

• Explain to the employee the right to appeal against the decision and the time limit for appeal
• Provide the employee with copies of the appeal form and procedures
• Advise the employee of their right to be accompanied by a work colleague or trade union representative at the appeal
• Make sure the employee is aware of the grounds for appeal and how to submit the appeal
• Ensure any appeal is heard by a senior manager who was not involved in the original disciplinary process
• Check off this step when you are sure the employee has been provided with the necessary information on the appeals process.

Ensuring any required action is taken

• Ensure all necessary documents relating to the disciplinary hearing have been submitted and recorded.
• Confirm that the disciplinary action taken is in accordance with the employer’s policies and procedures.
• If any changes need to be made to the employee’s terms and conditions of employment, ensure they are documented and signed by the employee.
• Ensure any required actions are taken, such as changing the employee’s job role or suspending them from work.
• Document the outcome of the hearing and ensure this is communicated to the employee.

When you have completed the above steps, you can move on to the next step in the disciplinary hearing process - monitoring the outcome of the hearing.

Monitoring the outcome of the hearing

• Keep a record of the outcome of the disciplinary hearing and the actions to be taken
• Ensure that any follow-up action is carried out, such as demotion, suspension, or dismissal
• Monitor the implementation of the outcome to ensure that it is adhered to
• Check that any warnings or other action taken are understood by the employee
• You can check this step off your list once you have reviewed the outcome of the disciplinary hearing, and have taken any necessary follow-up action.

Providing feedback on the disciplinary process

• Provide feedback to the employee on the outcome of the disciplinary hearing.
• Explain the outcome and any action/s to be taken.
• Provide the employee with a copy of the notes taken at the disciplinary hearing.
• Ensure the employee is aware of their right of appeal and the process for appealing.
• Ensure the employee understands the implications of the outcome and any action/s to be taken.
• Check that the employee has understood the outcome and their right to appeal.
• Ensure that any action/s to be taken are applied promptly.
• Document the outcome and any action/s to be taken.
• When you have completed all the above steps, you can check this off your list and move on to monitoring the outcome of the hearing.

FAQ:

Q: Is there a difference between conducting a disciplinary hearing in the UK and other countries, such as the USA or EU?

Asked by Karen on 11th April 2022.
A: Yes, conducting a disciplinary hearing in the UK is subject to different rules and regulations than in other countries, such as the USA and EU. In the UK, disciplinary hearings are regulated by the Employment Rights Act 1996, which sets out the rules for conducting investigations, appeals and dismissals. It also covers matters such as grievances and disciplinary procedures. The rules for conducting disciplinary hearings in the USA and EU may differ from those in the UK, so it is important to familiarise yourself with local laws before launching a disciplinary hearing in those areas.

Q: Do I need to conduct a disciplinary hearing if I have an employee who is performing poorly?

Asked by David on 18th April 2022.
A: Not necessarily. The choice of whether or not to launch a disciplinary hearing depends on the situation and your specific needs. Generally speaking, if an employee’s performance has deteriorated to a point where it’s negatively impacting your business, it may be beneficial to address the issue through a disciplinary hearing. However, you may want to consider alternative solutions first, such as coaching or retraining. You should also consider any mitigating factors before making a decision – for example, is there something that could be causing a dip in performance (such as stress or personal issues)?

Q: What happens if an employee refuses to attend a disciplinary hearing?

Asked by Andrew on 24th April 2022.
A: If an employee refuses to attend a disciplinary hearing, then you can still proceed without them if you deem it necessary. You must still follow fair procedures when dealing with the matter – for example, giving notice of the meeting and writing to the employee about it (even if they refuse to attend). You should then consider any evidence that is available from other sources and evaluate it fairly before making any decisions.

Q: How can I ensure that any decisions made at a disciplinary hearing are fair?

Asked by Jessica on 29th April 2022.
A: Ensuring that any decisions made at a disciplinary hearing are fair is key to maintaining good workplace relationships. To ensure fairness, you should always follow due process – for example, giving adequate notice of meetings and communicating any decisions clearly and promptly after they have been made. You should also ensure that all parties involved have an opportunity to present their case fully – this includes asking questions during the meeting, providing relevant documents or evidence to support their case, and having someone present who can speak on their behalf if necessary. Additionally, you should make sure that all decisions are based on facts and evidence gathered during the meeting – not personal opinions or bias.

Q: How do I decide what action should be taken after a disciplinary hearing?

Asked by Sarah on 3rd May 2022.
A: Deciding on what action should be taken after a disciplinary hearing depends on the situation and your specific needs. Generally speaking, appropriate action could include issuing verbal or written warnings (or both), suspending an employee with or without pay for a set period of time, demoting an employee or transferring them to another role within your organisation, or dismissing them from their role entirely. The action chosen should be proportionate to the offence committed and take into account any mitigating factors that may have contributed to it – for example, has this behaviour been consistent throughout their employment? Ultimately, you should ensure that you are acting fairly when making these decisions and following relevant legislation – such as the Employment Rights Act 1996 (UK) – at every step of the process.

Example dispute

Lawsuits Referencing Disciplinary Hearings

• Plaintiff may allege that the employer acted unlawfully by disciplining them without following company policies and procedures, including failing to provide due process rights.
• Plaintiff may allege that the employer violated Title VII of the Civil Rights Act, the Age Discrimination in Employment Act, the Americans with Disabilities Act, or the Family and Medical Leave Act.
• Plaintiff may also allege that their employer wrongfully discharged them for exercising their rights under employment law or for engaging in a protected activity.
• Plaintiff may allege that the employer’s disciplinary action was taken in retaliation for a protected activity.
• Plaintiff may seek a variety of remedies, including payment of back wages, reinstatement, punitive damages, compensatory damages, and attorney’s fees.
• Plaintiffs may also seek equitable relief, such as an injunction to prevent future violations.

Templates available (free to use)

Disciplinary Hearing Invite Letter Rescheduled Following Non Sickness Related Absence
Letter To Continue A Disciplinary Hearing After An Adjournment

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