As an employer, it’s never nice to know that there’s an issue with your staff or that there’s been an incident that could result in you needing to take further action as an employer. A disciplinary hearing is a tricky subject area for employers as it’s imperative to ensure that you follow the proper protocol to find out the truth about what happened and to avoid facing any legal issues in the form of an employee making a claim for unfair dismissal.
While it might be best to hire some external HR assistance to help you with disciplinary investigations and hearings, it’s also a good idea to have extensive knowledge of the subject as an employer as well.
When to arrange a disciplinary hearing
When there’s been an incident or altercation, the first thing you’ll need to think about is whether you should arrange a disciplinary hearing.
A disciplinary hearing should only be held following a formal and thorough investigation into the incident.
Employment disciplinary process
If the matter is serious enough to warrant a formal disciplinary hearing, then you will be required to inform the employee about the hearing and ensure that you follow the correct steps and protocol to carry out the hearing.
Determine who is responsible for investigating
The employee’s line manager is usually responsible for investigating any allegations made against them, but in the instance that it was the line manager who made the complaint, this won’t be appropriate, so another manager will have to take charge.
Decide whether the employee should be suspended
A suspension of the employee who is being investigated may not always be necessary while the investigation and disciplinary hearing are ongoing, but in the event that the allegations involve serious misconduct, it might be the best course of action to take.
Carry out a reasonable investigation
The length and intensity of the investigation should reflect the severity of the allegations made against the employee. While there is no set amount of time that an investigation “should” take, it’s up to you as the person carrying out the investigation to determine an appropriate length of time.
Keep detailed notes and records on file
Keeping thorough and detailed notes throughout the entirety of an investigation is an integral part of the process as it allows an accurate and extensive case to be made.
It shows that the investigation carried out was fair and thorough so that every employee gets a fair chance.
Ensure that any disciplinary hearing is strictly confidential
This point should go without saying, but when it comes to investigating an employee and if it eventually goes to a disciplinary hearing, it’s crucial that everything remains strictly confidential.
It’s also important for the employee to recognise the importance of discretion and confidentiality of the ongoing investigation so as not to cause any bias or judgment from any other employees or members of staff.
Furthermore, if there is a need for a disciplinary hearing and witnesses are required, many witnesses will only participate if they can be assured of their anonymity throughout the process.
Remember that an investigation is not the same as a disciplinary hearing
An investigation is not the same as a disciplinary hearing.
The investigation is designed to collect evidence, testimonies and facts about the employee and allegations, whereas the disciplinary hearing is intended to determine whether suitable disciplinary action is required.
Even if the employee admits their guilt during the investigation process, the employer must still invite them to a disciplinary hearing so that every piece of evidence and factual information can be analysed and assessed appropriately.
Preparing for a disciplinary hearing – best practices
Once you’ve carried out the investigation, you must then arrange a suitable date and time to hold the hearing. The chosen date and time for the hearing should give you and the employee plenty of time to prepare for the hearing.
Following an investigation and depending on how thorough and complex it was, five working days’ notice is usually enough time for a disciplinary hearing to take place.
There are five key steps that you should take when preparing for a disciplinary hearing:
- Formally invite the employee to the disciplinary hearing in writing.
- Ensure that there is sufficient time between the investigation and disciplinary hearing; you cannot hold a hearing immediately following an incident., there must be enough time in between inviting the employee and the hearing taking place so that they can consider the allegations and evidence and prepare their case.
- You must make all the evidence and allegations explicitly clear in the invitation letter and if there is a possibility of dismissal as a result of the outcome of the hearing, this also must be made explicitly clear.
- You will need to inform the employee of their legal rights with regards to their hearing, including their right to be accompanied by a trade union representative or a colleague to the meeting.
- You must make the necessary adjustments in order to accommodate a disabled employee attending the hearing.
It’s imperative that you give the employee a fair opportunity to present themself and their case at the hearing and even if you feel like a dismissal is the right choice, you must be prepared to listen to their evidence.
Disciplinary hearings by employers – next steps
If at the end of the investigation, the employer determines that there’s enough reason to go ahead with a disciplinary hearing, then it must proceed.
Once the disciplinary hearing takes place and the outcome is decided, the employee does have the right to appeal the outcome. Oftentimes, the outcome of many disciplinary hearings are appealed in the first instance. Of course, this can make the process drag on even longer, but as an employer, it is your duty and responsibility to take care of these matters, even if it’s not a very nice or pleasant role to undertake.
