1. Disciplinary Training
Preparing for and conducting disciplinary hearings
& appeals

2. Aims and Objectives Consideration of employment rights
Consideration of misconduct v gross misconduct
How to investigate suspected gross or other misconduct
How to conduct a disciplinary hearing
The right to appeal
Consideration of possible legal claims

3. Employment Rights
Employees get full employment rights after 2 years’ service
Only those with full employment rights follow the disciplinary procedure
Those with less than 2 years’ service would be called to an employment review
Furthermore, those with less than 2 years service cannot claim unfair or
constructive dismissal in an employment tribunal, they may however claim
discrimination on the basis of one of the protected characteristics

4. Misconduct
Misconduct occurs when an employee breaches the terms of their contract of
Employment
The contract of Employment is made up of their individual terms and conditions
and the Employee Handbook
All employees are issued with their contract of Employment prior to their first day
of employment
Agency workers do not have a contract of Employment with us and their contract
is held with the agency

5. Gross Misconduct
Gross misconduct is a serious breach of the contract of Employment
A list of categories of gross misconduct can be found in the Employee
Handbook and include but are not limited to:
Unfit through drinks or drugs
Theft
Physical violence or threats thereof
Serious bullying or harassment
Deliberate damage to property
Bringing the employer into disrepute
Serious infringement of health and safety rules
Unauthorised absence
Leaving work without permission

6. Activity Time!
Misconduct or Gross Misconduct?

7. Right to Investigation
Any misconduct, gross or other, needs to be investigated in order to establish
the facts of the case
In cases of misconduct, the investigation would form as part of the
disciplinary / employment review hearing
Investigation prior to the hearing may include the return to work interview,
timekeeping records, quality records, witness statements
In cases of potential gross misconduct, and where the employee has full
employment rights, it will be necessary to hold an investigation meeting prior
to a disciplinary hearing to establish whether the Investigating Officer (IO) believes
gross misconduct to have occurred

8. Investigating Gross Misconduct
The investigation would be chaired by an Investigating Officer and somebody
from the HR department
The Investigating Officer should not be junior or peer of the person being
investigated and should not be a witness to the allegations
The types of evidence they may collate could include:
Investigation meeting
Witness statements
CCTV evidence
Company records and documentation
IT system records
Social networking sites or other media
Other types may include drugs and alcohol test results

9. Further Guide to Investigations
Employees should be given a minimum of 24 hours notice prior to an invite to
formal investigation meeting to allow time to prepare their case
Other evidence should be collected prior to the investigation meeting with the
employee and forwarded to employee to help them prepare
If the employee brings further evidence (e.g. a new witness) to the investigation
then this must be looked into after the meeting prior to making a decision
The outcome of the investigation should be confirmed in writing to the employee
along with notes of the meeting and any further investigations

10. Conducting a Formal Investigation
Ensure you introduce all present and outline everyone’s role in the meeting
Carefully set out allegations against the employee that you intend to investigate
in the meeting
Ask the employee to give a full explanation of their version of events by answering
specific, open questions
Where appropriate, check out the employee’s understanding of company policies
and procedures.
Keep an open mind and consider only the facts, do not get into an argument with
the employee
Do not give an outcome of your decision in the meeting and adjourn to consider
all the facts
On conclusion of the investigation, all evidence to be passed to the Disciplinary
Hearing Officer and the investigator should play no further part in the process

11. The Disciplinary Hearing Officer
The Disciplinary Hearing Officer should have had no prior involvement in the
case and should be more senior than the employee who is subject to potential
disciplinary action

12. Stages of Disciplinary

13. The Evidence Review
Whilst the Investigating Officer may have an opinion that further action is
required, the DHO must conduct a thorough review of the evidence collated
before deciding whether disciplinary action would be appropriate, including:
Ensuring the employee has had opportunity to provide their version of events
Ensuring the relevant organisational policies, procedures and other documentation
have been reviewed
Identify any gaps in evidence and instruct the IO to conduct further where
necessary
Consider the next course of action, such as formal disciplinary, informal
warning or further training or support for the employee

14. Drafting and Issuing the Letter
The employee should always be given a formal letter inviting to a disciplinary
or employment review with at least 24 hours notice
The hearing should be arranged during the employees normal working hours
and should consider their fitness or availability according to pre-booked holiday
or any sick notes received
The letter should contain the following information:
The date and time of the disciplinary hearing
The venue of the disciplinary hearing
Details of the minute taker at the hearing
A detailed explanation of the allegation(s) against the employee
An explanation of the employee statutory right to be accompanied
A list of evidence that the DHO will consider during the hearing
Where dismissal is a likely outcome of the meeting, the letter should include a
warning of this potential outcome

15. The Right to Accompaniment
All employees have a statutory right to be accompanied to a disciplinary
hearing, employment review or formal probation review (Employment
Relations Act 1999)
The employee may be accompanied by a work colleague or a trade union
official
Special circumstances will only apply in the following circumstances:
Disabled employees have the right to reasonable adjustments and may be
accompanied by an advocate, friend or family member
Employees with limited English language may be accompanied by an official
translator
The companion is there to support and confer with the employee and may
conclude the employees case however they may not answer on behalf of the
employee
If the companion is a work colleague from the same foreign country, they
cannot translate for the employee

16. Conducting The Disciplinary Hearing
The DHO will start by introducing all parties present and outlining their roles
They should confirm that the employee has received the letter and all
supporting documentation and check understanding of its contents
If the person is alone, confirm the right to be accompanied
Explain the purpose of the hearing is to consider all evidence and determine
what disciplinary action, if any, is required
Set out the allegations and present a summary of evidence to date
Ask the employee for their explanation and clarify whether they accept or deny
the allegations against them
If you need to challenge the employee, do so politely using evidence collated,
however accept that some evidence may not be accurate or factual
Consider adjourning the hearing to conduct further investigation if the employee
challenges the validity of the evidence

17. Concluding The Disciplinary Hearing
Before concluding the hearing, ask whether are any other factors they
want to make the DHO aware of
Explain the meeting will be adjourned to allow the DHO to consider the
evidence and make an appropriate decision
Ensure that the employee is informed that no decisions have been made
Close the disciplinary

18. Making the Decision
Before making a decision, the DHO should consider the following:
Whether the investigation has been as thorough as possible
Whether the DHO fully understands all evidence and documentation
Whether there are any mitigating circumstances that the DHO should
take into account
Whether they believe, objectively, that the allegations are substantiated
What disciplinary action would be fair and reasonable to impose, if any

19. Formal Stages of Disciplinary Action
Verbal Warning
Written Warning
Final Written Warning
Dismissal
All stages of warning will have an expiration which will be stated on the outcome letter

20. Employment Review Action
Employees with less than 2 years’ service are not entitled to
any stages of warning and may be dismissed without warning,
however in the interest of fairness, informal written warnings
may be given which we refer to as verbal reprimand or last chance
warning

21. Considering Levels of Warnings
The DHO should consider what informal / formal warnings are on file
They should also consider the level of seriousness of misconduct
In cases of gross misconduct, the outcome should always be summary
dismissal

22. Dismissal
Where dismissal is the chosen outcome, the employee should be informed
of their notice and whether they are required to work
The notice period will be one week per full year of employment up to 12
years’ service
If the employee is not required to work, they should still be paid their notice
at their standard rate
If the employee is required to work their notice and they choose not to, they
are not entitled to be paid
Where summary dismissal for gross misconduct is the outcome, the employee
will not be entitled to any notice, regardless of their service
As with any termination of employment, they will be paid any outstanding
holiday entitlement

23. Possible Legal Claims Unfair Dismissal Wrongful Dismissal
Discrimination

24. Confirming the Decision in Writing
The outcome letter should summarise the following:
A summary of the discussion and any other issues such as mitigating factors
that the DHO took into account
Confirmation of the decision itself
If not dismissal, an explanation of the consequences of further misconduct
An explanation of the appeal process

25. Activity Time!
Disciplinary Role Play

26. Right to Appeal
All employees will be given the right to appeal against any formal decision
as per the ACAS code and will be given 7 days from receipt of their formal
warning / dismissal to appeal in writing which is explained in their formal
letter confirming the disciplinary warning
This right given regardless of whether the employee is able to produce
further evidence
The employee will also have the right to be accompanied at the appeal
hearing, the same rule applies
The hearing should also be introduced and concluded in a similar manner
as the disciplinary hearing
The appeal hearing is an opportunity for the employee to present their
reasoning for appeal

27. The Disciplinary Appeal Hearing Officer
The DAHO should be somebody not previously involved in the allegation
and should be somebody more senior than the DHO, if not possible then
somebody on the same level
They should read all witness notes to date ahead of the hearing and have
these available during the meeting to refer to if necessary
The DAHO should be prepared to challenge the employee politely and
ensure they avoid getting into a debate or argument

28. Conducting The Appeal Hearing
Prior to the meeting, the DAHO will need to read all evidence collected
during the investigation, minutes of the investigation and disciplinary hearing
and the employee’s letter of appeal including any supporting documentation
Follow the same structure as the investigation and disciplinary hearings by
explaining the purpose of the meeting and introduce those present
Ask the employee to explain why they are appealing
Pay attention to all evidence, particularly anything new that might be introduced
Adjourn the hearing to consider the evidence and reach a decision

29. Appeal Hearing v Disciplinary Re Hearing
Sometimes it may be necessary to re-hear a disciplinary completely if
it is felt the hearing was not done properly or investigations not fair and/or
thorough enough the first time
In this instance, the appeal hearing would be carried out in the same
way as the disciplinary and a fresh decision would be made

30. Possible Outcomes of the Appeal Hearing
Confirm the original decision
Uphold the decision but change the basis on which made
Change the disciplinary outcome by either reducing severity or overturning
completely
Reinstate a dismissed employee

31. Concluding the Appeal Process
The DAHO must confirm the outcome of the appeal and reasons in
writing including minutes of the meeting and any further evidence
The appeal is the final stage in the disciplinary process and the
employee has no further right to appeal, this must be confirmed to the
employee as part of the outcome letter

32. Summary Consideration of employment rights
Consideration of misconduct v gross misconduct
How to conduct a disciplinary hearing
The right to appeal
Consideration of possible legal claims