AN EMPLOYEE’S GUIDE TO DISCIPLINARY AND DISMISSAL HEARINGS
Be prepared and seek advice
Facing the possibility of losing your job or being under investigation at work is a worrying experience. To have the best chance of continuing your employment and your working relationship with your employer you need to be fully prepared.
If you are a member of a trade union you should contact it for advice and to ask for a trade union representative to accompany you to any meetings with your employer.
Disciplinary Procedure
Every employer must have a written procedure setting out their rules and standards that are expected from you at work, and the procedure your employer will follow if disciplinary action or dismissal is being considered. If you do not already have a copy of the procedure, ask to see it and make sure you understand it before any disciplinary meeting takes place.
Suspension
If the allegation is serious enough, the disciplinary procedure normally allows an employer to suspend an employee pending an investigation. You should receive your normal pay throughout any period of suspension. Being suspended is not a disciplinary penalty and does not mean that your employer has already reached a decision. It should be seen as a neutral act to allow your employer to carry out a full investigation. If your employer tries to suspend you without pay, or if your suspension goes on for an excessive period of time you need to seek advice.
Preparation for an investigatory meeting
Sometimes employers will hold an initial meeting prior to a disciplinary hearing
Before the meeting make sure that you know what it is for. Ask for copies of any documents and witness statements that your employer has obtained so that you can be properly prepared for the meeting.
There is no legal right to be accompanied to an investigatory hearing but most employers allow you to have a work colleague or trade union representative with you. We would always advise you to attend with someone if allowed.
Attendance at an investigatory meeting
You should attend and answer any questions as best as you can. Your employer does not have to prove that you have breached the disciplinary rules, but only has to have a reasonable belief before taking disciplinary action, and if you refuse to answer questions, your employer may assume that you are guilty.
If you accept the allegations against you, make sure you tell your employer about any mitigating circumstances (eg you were unaware that what you did broke a disciplinary rule, other employees have done exactly the same as you and no disciplinary action has been taken, this is the first time that anything like this has happened, you have had insufficient training or you were under extreme pressure at the time). If the allegation could result in criminal charges or have other implications outside work you always need to take appropriate advice.
Following the investigatory meeting
If your employer accepts that you did not break a disciplinary rule or that there were sufficient mitigating circumstances; that will be an end to the process, and if you have been suspended you will be asked to return to work.
Otherwise, you will probably receive a letter asking you to attend a disciplinary hearing.
Preparation for a disciplinary hearing
The allegations against you should be set out fully in the letter calling you to the disciplinary hearing. If they are not or you do not understand them, ask your employer for more details or for an explanation prior to the hearing.
You are entitled to be accompanied or represented at a disciplinary hearing by a trade union official or a fellow employee. If you would prefer to be accompanied by a friend or family member your employer may agree if you ask in advance. If your representative is unavailable on the date set for the hearing, ask for the hearing to be put back to a date that is convenient. You are entitled for the date to be put back by up to 5 working days.
If your employer has not already provided these to you ask for the following:
- notes of any previous meetings
- any witness statements prepared for the hearing
- any documents your employer intends to rely on
- any other documents which you think are relevant to your defence of the allegations.
Prepare a list of everything you want to say, all the questions you want to ask and of everything you disagree with in the information provided to you by your employer. If possible write a statement giving your version of events.
Ask any work colleagues who are willing to support you to put something in writing or ask if they can attend the hearing. If your employer has told you not to contact your colleagues ask your representative to do this for you, or give a list of names to your employer.
If you have a representative you should meet to discuss your case prior to the hearing.
Attendance at a disciplinary hearing
Even if you decide to represent yourself it is worth taking someone with you to make notes.
Hand over to your employer copies of any prepared statements and any further documents that you want to be considered.
Answer any questions as best as you can and challenge anything that your employer says that you do not agree with. If you believe that the real reason you are being disciplined is not the reason your employer has given, you should say so at the hearing.
Ask for an adjournment if anything takes you by surprise during the hearing and you need time to consider your response (eg if your employer produces new documents which you have not seen before).
At the end of the meeting make sure you have covered everything you wanted to say.
You may be told the result of the hearing at the end of the meeting but quite often your employer will write to you to tell you the result.
Disciplinary sanctions include verbal warnings, written warnings and dismissal. Some disciplinary procedures allow penalties of unpaid suspension or demotion.
Appealing a disciplinary sanction
If you are disciplined or dismissed and you disagree with the outcome you can appeal the decision. If you are not sure on what grounds you can appeal it is better to appeal straight away and say that you will supply the grounds of appeal later on, rather than miss a time limit for an appeal. The letter from your employer advising you of or confirming the outcome of the disciplinary hearing should tell you to whom and by when you should appeal.
Ask for a copy of the minutes of the disciplinary hearing and if you believe the notes are inaccurate tell your employer why.
Your grounds of appeal can ask for any points raised at the original hearing to be dealt with again and you can include any further points that arise from the procedure, the hearing or from the minutes. If you think there was insufficient investigation of the allegations against you or if you think the real reason for disciplining you was not what you have been told- you should say so in your letter of appeal.
Your appeal should not be heard by the same person who made the decision from which you are appealing and if possible they should have no previous knowledge of the events which led to the original hearing.
The procedure at the appeal hearing is similar to that at a disciplinary hearing. and the same issues can be dealt with again. Sometimes the appeal will be a complete rehearing but sometimes it will only deal with the points you have raised in your letter of appeal so you need to that the letter covers everything you want to say. If there were any witnesses at the previous hearing they will not normally be at the appeal but their evidence will be available.
You have the same right to be accompanied or represented as at the original disciplinary hearing. If anything it is more important to make sure you have someone with you at the appeal.
Bringing an Employment Tribunal Claim
Most claims have to be made within 3 months (3 months less one day) of the disciplinary hearing or date of dismissal. Do not wait for the results of an appeal hearing before seeking legal advice.
Individual employers procedures vary. This guidance is for general information only. Although it is intended to cover most situations, if you are in doubt on what action to take contact NORTH WEST EMPLOYMENT LAW on 01257 231458 and we can guide you through the procedure.
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