The Disciplinary Hearing

1
|
The Disciplinary Hearing
Effective Discipline
MTL Course Topics
EFFECTIVE DISCIPLINE

2
|
MTL Course Topics
The Course Topics series from Manage Train Learn is a large collection of topics that will help you as a learner
to quickly and easily master a range of skills in your everyday working life and life outside work. If you are a
trainer, they are perfect for adding to your classroom courses and online learning plans.
COURSE TOPICS FROM MTL
The written content in this Slide Topic belongs exclusively to Manage Train Learn and may only be reprinted
either by attribution to Manage Train Learn or with the express written permission of Manage Train Learn.
They are designed as a series of numbered
slides. As with all programmes on Slide
Topics, these slides are fully editable and
can be used in your own programmes,
royalty-free. Your only limitation is that
you may not re-publish or sell these slides
as your own.
Copyright Manage Train Learn 2020
onwards.
Attribution: All images are from sources
which do not require attribution and may
be used for commercial uses. Sources
include pixabay, unsplash, and freepik.
These images may also be those which are
in the public domain, out of copyright, for
fair use, or allowed under a Creative
Commons license.

3
|
MTL Course Topics
ARE YOU READY?
OK, LET’S START!

4
|
MTL Course Topics
INTRODUCTION
The disciplinary hearing is the grand set-piece of any
disciplinary procedure. For many organisations, a
disciplinary hearing runs contrary to best management
practice and is an admission that management, as well as
employees, have failed. However, given the nature of
human frailty and human temptation, disciplinary hearings,
with their connotations of guilt, judgment and punishment,
are often the only possible responses to cases of serious
misconduct and unacceptable workplace behaviour.

5
|
MTL Course Topics
DISCIPLINARY HEARINGS
When considering how to respond to a case of alleged
indiscipline, managers have to weigh up the evidence of two
scales: how serious the matter is and how much of the case
is disputed.
This assessment produces four options:
1. cases which are not serious and not disputed. These can
be dealt with through counselling.
2. cases which are not serious but disputed. These will
require a hearing to decide whether the employee is
responsible for the breach of discipline.
3. cases which are serious and not disputed. These can be
dealt with by what in judicial parlance can be called a "guilty
hearing".
4. cases which are serious and disputed. These can only be
handled by what in judicial parlance would be called a "not
guilty trial". These hearings require the presentation of
evidence, witnesses, and statements.

6
|
MTL Course Topics
NOTIFICATION OF A HEARING
This is an example of a letter notifying an employee of a
disciplinary hearing:
Dear...,
I am writing to give you the required notice under the terms
of the Company's disciplinary policy that you are required to
attend a disciplinary hearing as follows...
Date and time:
Venue:
This hearing will be to consider what disciplinary action, if
any, is necessary as a result of the following reported
incident:
In accordance with the disciplinary policy you are entitled to
be accompanied by a representative or colleague.
Please confirm your attendance and the name of any
accompanying colleague or representative.
Yours...

7
|
MTL Course Topics
ORGANISING A HEARING
The nominated disciplining officer (who may be a specialist
from, say, a personnel department or the employee's
manager) will be responsible for organising the disciplinary
hearing.
The following points need to be considered...
1. Who? Who needs to be on the panel and who will be
with the employee? It is best to aim for a balance of
numbers on each "side".
2. What? What are the facts, the circumstances, the
complaints? What is the legal position? What is the
employee's record? What is in dispute?
3. Why? Why is it necessary to hold a hearing?
4. Where and when? Where and when is the hearing to be
held?
5. How? How is the hearing to be conducted? Who will
chair, take notes, look after witnesses? What length of time
can we expect the hearing to last?

8
|
MTL Course Topics
A PRE-HEARING CHECKLIST
The following is a list of important tasks to complete before
a disciplinary hearing...
1. Gather all documents and evidence.
2. Check the availability of witnesses.
3. Notify the employee in due time in writing.
4. Book a room for the hearing, a room for employees and
representatives and a room for witnesses.
5. Plan for secretarial help.
6. Notify other managers or the panel of their need to
attend.
7. Allocate the roles of chair, scribe, observer amongst the
panel.
8. Check the availability of accompanying colleagues.

9
|
MTL Course Topics
A HEARING CHECKLIST
The following are the important steps to cover in the
conduct of a disciplinary hearing...
1. start on time
2. collect employee and introduce others who are present
3. offer the employee the right to be represented, if not
already taken up. Record replies.
4. outline the aim, structure and purpose of the hearing
5. ask the employee to indicate at any stage if they feel the
hearing is being unfair
6. start the hearing by outlining the standard or rule
breached or the disputed gap in performance
7. hear the case if any facts are disputed
8. adjourn to consider what action to take
9. return and announce whether you find the employee
responsible and the action proposed
10. check how the employee feels about the decision.

10
|
MTL Course Topics
A POST-HEARING CHECKLIST
The following is a list of duties to be carried out after a
disciplinary hearing...
1. Record details on personal file
2. Send confirming letter
3. Notify anyone else who needs to be informed (for
example, wages and salaries department if the employee is
suspended or dismissed)
4. Monitor any agreed improvement plan
5. Place calendar benchmarks in the diary for reviews and
imminent expungement dates
6. Review your own performance.

11
|
MTL Course Topics
CHAIRING A HEARING
Whilst the primary function of the chair of a disciplinary
hearing is to conduct the hearing in a business-like manner,
you need to be aware of the purpose, gravity and
significance of what is happening.
1. be aware that the only basis for conducting a hearing is
the contract of employment. You are there to review its
continuation, not judge or condemn a person.
2. be aware of any authoritarian tendencies on your part
3. be aware of anything said during the hearing which
might prejudice an unfair dismissal case
4. be aware of your own prejudices about certain kinds of
behaviour
5. be aware that you can conduct even a dismissal hearing
with humility and dignity.

12
|
MTL Course Topics
REPRESENTATION
It is one of the tenets of natural justice, as well as a legal
right, that an employee should be represented or
accompanied at a disciplinary hearing if he or she so wishes.
An organisation's policy should outline how this right is to
be exercised and who an employee may choose to either
represent or accompany them. In some cases these may be
colleagues; in other cases, trade union officials. Bringing in
solicitors or family members and friends is inadvisable
particularly where matters of confidentiality and knowledge
of the workplace are involved.
The policy should also clarify the role a representative plays
during the hearing. This can range from being simply a
witness to proceedings to undertaking a full-scale defence
of the employee.

13
|
MTL Course Topics
THE SHAPE OF A HEARING
The classic shape of a disciplinary hearing has seven stages:
1. the opening which should be conducted by the
chairperson and consists of introductions, formalities, aims,
and an outline of the employee's rights
2. a brief outline of the agreed facts and areas of
disagreement
3. a response from the employee
4. the hearing of a guilty or not guilty case using witnesses
and evidence
5. adjournment by management team to consider the
issues, eg whether guilty and if so, what action to take
6. the panel returns to announce its decision and the
reasons for the decision
7. the close which explains any subsequent steps or rights,
eg right of appeal, time period before a warning is
expunged.

14
|
MTL Course Topics
HELPFUL BEHAVIOURS
The following are helpful behaviours in a disciplinary
hearing:
1. be prompt and conduct the hearing without
unnecessary delays
2. be humble and humane
3. respect confidentiality. Discuss the case with nobody
other than those who need to know.
4. listen carefully, actively and respectfully; aim to
understand not condemn
5. stick to the facts
6. be clear on your aims in disciplining
7. consider mitigating circumstances
8. constantly relate the case to the contract of
employment and what is reasonable and unreasonable
in the light of the employee's job
9. take full notes for the record.

15
|
MTL Course Topics
UNHELPFUL BEHAVIOURS
It is unhelpful to use the following behaviours in a
disciplinary hearing...
1. pre-judging the case
2. getting personal
3. arguing
4. playing power games (eg with Union representatives)
5. continuing the hearing when emotions are high
6. bullying or brow-beating
7. making physical contact
8. leaving employee waiting to know his or her fate
9. pontificating, lecturing, gloating, moralising, tut-tutting
10. making more of trivial cases than is necessary
11. threatening employees
12. joking, smiling or making light of the matter.

16
|
MTL Course Topics
MERCY
Those who run disciplinary hearings are in an
unprecedented position of power over others. They have no
official judicial role yet can be judge and jury where people's
livelihoods are concerned. This is a role which calls for the
exercise of mercy.
The dictionary describes "mercy" as: "forbearance towards
one who is in one's power" and "a forgiving disposition". If,
in a disciplinary hearing, you can act both responsibly on
behalf of the organisation and mercifully towards others,
you will achieve a great deal.
"The quality of mercy is not strain'd;
It droppeth as the gentle rain from heaven
Upon the place beneath; it is twice blessed:
It blesseth him that gives and him that takes."
(Shakespeare: "The Merchant of Venice")

17
|
MTL Course Topics
REACHING A DECISION
The process of coming to a decision in disciplinary cases
involves taking numerous factors into account and applying
the most appropriate action.
1. look at the aims of the disciplinary policy
2. look at the employee's contract
3. look at the facts and probabilities
4. look at precedents and similar cases
5. look at the employee's record
6. look at mitigating and aggravating factors
7. look at the employee's intentions.
Sieve everything through what is fair and reasonable and
come up with a decision.

18
|
MTL Course Topics
CONFIRMATION
The following is an example of a discipline confirmation
letter:
Dear…
Further to the disciplinary hearing held on Thursday last, I
am writing to confirm the decision taken.
I confirm the following facts concerning the incident
(complete the details of the gap between performance
standard and the employee’s actions):
As a result, an official warning has been placed on your
record. This warning remains on your records for 12
months. If during this period there are no further incidents,
the warning will be disregarded. You have the right to
appeal against this decision within five days.
We regret that this action has been necessary and trust that
no further action will be taken.
Yours...

19
|
MTL Course Topics
THAT’S
IT!
WELL DONE!

20
|
MTL Course Topics
THANK YOU
This has been a Slide Topic from Manage Train Learn

The Disciplinary Hearing

More Related Content

What's hot

Similar to The Disciplinary Hearing

More from Manage Train Learn

The Disciplinary Hearing