Holding a disciplinary hearing

1. Gather the facts - the allegation, evidence, and the employee's past record.

2. Inform the employee in writing, explaining the reason for the hearing and when it will take place; allow the employee at least three working days' notice to prepare a case.

3. Arrange for any witnesses, or evidence you or the employee want to present at the hearing, to be available. The evidence must be provided to the employee in advance of the hearing.

4. Tell the employee that they can bring a colleague (or union representative) to the hearing.

5. Review your procedures and make sure they conform to the statutory minimum three-step process for disciplinary hearings. Take advice if in doubt.

6. Prepare yourself to be calm and open-minded throughout the hearing; be ready to adjourn the hearing if tempers become frayed.

7. Begin the hearing by explaining what will happen; set and keep to an agenda to maintain control of the hearing. Explain that detailed notes or minutes will be taken of proceedings at the hearing.

8. Present the case against the employee.

9. Allow time for a response and consider the case from the other side.

10. Clarify any mitigating circumstances: for example, if the employee was unaware of the rules, or similar behaviour is widespread.

11. Encourage suggestions to help overcome the problem.

12. Summarise the discussion and adjourn to make any further investigations necessary and to reach a decision.

13. Consider how serious the offence is, what action it merits and any steps which could be taken to improve the situation. If you consider there has been serious gross misconduct, and you are therefore considering summary dismissal, you must still establish the facts before taking action.

14. Consider a short period of suspension on full pay if you need more time. This should only be imposed after careful consideration, and kept under review. Make it clear to the employee that this is not a disciplinary step, and does not mean you are pre-judging his case.

15. Inform the employee of your decision as soon as possible in writing; issue and explain any warning.

16. Explain that the employee has the right to appeal; if possible any appeal should be heard by someone senior who has not been involved in the initial hearing.

17. Throughout, keep a detailed written record; ask the employee to sign any improvement plan, and emphasise the consequences of further offences.

Cardinal Rules

Do:

• investigate thoroughly beforehand
• listen to the employee's case
• look for ways to improve the situation
• apply your procedure fairly and consistently
• keep a written record

Don't:

• jump to conclusions before hearing the employee's case
• become hostile or lose your temper
• make hasty decisions